Tier 1 US Investment Bank, Equity Advisory Compliance, Associate to VP:
The EQ Advisory team plays a pivotal role in the equity front office transactions of the global markets division. This is a replacement hire.
Responsibilities:
1. Compliance advisory to equity front office with respect to compliacne policies and procedures and relevant Japanese laws.
2. Conduct regular compliance training for business unit professionals
3. Handling of regulatory and internal investigations/audit
4. Assess potential risks associates with coverage area and address to enhance internal control functions as well as collaborate with front line risk management team
Ideal Candidate:
1. Ideal candidates comes from an EQ Advisory background
2. Role is also open to candidates coming from a securities' compliance background (central compliance, etc.)
3. Role is also open to Middle Office/Operations candidates with experience in equities (listed derivatives and/or OTC)
Compensation:
up to 20mJPY base + bonus
