Are you passionate about building relationships with various regulators, driving the firm's strategic risk awareness, and gaining exposure to global regulatory discussions and cross-divisional partnerships? We are looking for an experienced professional to join the Regulatory Practice Group (RPG) who wants to use your analytical and judgment skills to respond to regulatory requests and communication skills to build relationships with regulators.
OUR IMPACT
Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates, and we work with regulators to manage financial market risk. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
The RPG is responsible for interactions with various regulators. RPG mainly focuses on three main themes: i) inspection, ii) regulatory inquiries, iii) regulatory relationships. In addition, RPG provides other departments with advice on regulatory-related matters.
HOW YOU WILL FULFILL YOUR POTENTIAL
• Assist in inspection by coordinating with other departments
• Respond to regulatory inquiries/requests on a day-to-day basis
• Provide advice on regulatory-related matters (regulatory filing, incident reporting, licensing application to other departments)
• Handle regulatory filing, including incident reporting
• Assist in building and maintaining relationships with regulators
SKILLS & EXPERIENCE WE'RE LOOKING FOR
BASIC QUALIFICATIONS
• 3+ years of experience in the financial services industry
• Experience in regulatory filing is a plus
• Excellent interpersonal, written & verbal communication skills in both English and Japanese
• Ability to pay attention to details and thoroughness of execution
• Strong analytical and judgment skills
• Pro-active attitude to the job
PREFERRED QUALIFICATIONS
• Compliance/Legal/Internal Audit/Operations background is preferred
• Experience in relationship management or stakeholder management
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