The Junior Compliance Officer (Analyst) plays a vital role in supporting the organization's compliance framework, focusing on regulatory reporting and filing, marketing material review, and employee compliance.
This position is suited for candidates with at least three years of experience in asset management compliance or compliance roles within securities companies or banks.
The role ensures adherence to regulatory requirements and internal policies, contributing to the firm's reputation and operational integrity.Key Responsibilities
Regulatory Reporting and Filing:
Maintain up-to-date knowledge of reporting requirements from regulatory bodies FSA, or other self-regulatory organizations.
Coordinate with internal teams to gather necessary information for accurate and timely submissions.
Respond to regulatory inquiries and assist in regulatory audits.
Marketing Material Review
Review and approve marketing and promotional materials to ensure compliance with local regulatory standards. Advise marketing and product teams on disclosure requirements and prohibited practices.
Stay informed of changes in advertising regulations affecting asset management, securities, or banking products.
Employee Compliance
Monitor employee adherence to internal codes of conduct and compliance policies, including personal trading, gift & entertainment and outside business activities.
Training for employees and supporting in developing training materials.
Assist in the management and resolution of compliance incidents and breaches.
Maintain accurate records of employee compliance certifications and disclosures.
Qualifications And Experience
Bachelor's degree in Finance, Business, Law, or a related field.
Minimum of 3 years' experience within asset management, or in compliance securities companies/ banks.
Strong understanding of regulatory frameworks governing financial institutions in Japan.
Excellent attention to detail and analytical skills.
Effective communication and interpersonal abilities in both Japanese and English.
Skills And Attributes
Ability to interpret and apply complex regulations to business operations.
Strong organizational and time management skills.
Proactive approach to identifying and mitigating compliance risks.
Team player.
Reporting Line
The Junior Compliance Officer reports to the Head of Japan Compliance.
Career Development
This position provides opportunities to grow into senior compliance roles, offering exposure to a variety of compliance functions and the chance to develop expertise in regulatory matters affecting the financial services industry.
To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.
BlackRock's hybrid work model is designed to enable a culture of collaboration and apprenticeship that enriches the experience of our employees, while supporting flexibility for all.
Employees are currently required to work at least 4 days in the office per week, with the flexibility to work from home 1 day a week.
Some business groups may require more time in the office due to their roles and responsibilities.We remain focused on increasing the impactful moments that arise when we work together in person – aligned with our commitment to performance and innovation.
As a new joiner, you can count on this hybrid model to accelerate your learning and onboarding experience here at BlackRock.
About BlackRockAt BlackRock, we are all connected by one mission: to help more and more people experience financial well-being.
Our clients, and the people they serve, are saving for retirement, paying for their children's educations, buying homes and starting businesses.
Their investments also help to strengthen the global economy:support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress.
This mission would not be possible without our smartest investment – the one we make in our employees.It's why we're dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive.
For additional information on BlackRock, please visit @blackrock | Twitter: @blackrock | LinkedIn:BlackRock is proud to be an Equal Opportunity Employer.
We evaluate qualified applicants without regard to age, disability, family status, gender identity, race, religion, sex, sexual orientation and other protected attributes at law.
Show more Show less-
Tokyo BlackRockThe Junior Compliance Officer plays a vital role in supporting the organization's compliance framework, focusing on regulatory reporting and filing, marketing material review, and employee compliance. · This position is suited for candidates with at least three years of experienc ...
-
Tokyo Tullett PrebonThe Compliance team is responsible for proactively engaging with the business to provide clear advice and support. · This role will work as a member of the Compliance team to foster a compliance culture within TP ICAP Group's companies,with particular responsibility for the compl ...
-
Tokyo, Tokyo Tullett Prebon ￥4,000 - ￥6,500 per yearThe TP ICAP Group is a world leading provider of market infrastructure. · We are looking for a Compliance Officer to join our team in Tokyo. · ...
-
Tokyo, Tokyo Worldpay $120,000 - $240,000 per yearWe're looking for a Compliance Analyst to join our ever evolving Legal, Risk, Compliance & Audit team to help us unleash the potential of every business. · ...
-
Tokyo Morgan McKinley ￥2,000,000 - ￥3,000,000 per yearJoin a world-leading financial market infrastructure provider as a Junior Compliance Officer. · ...
-
Tokyo, Tokyo StoneX Group Inc.StoneX Securities Co., Ltd. · The Senior Compliance Officer will provide compliance advisory and regulatory monitoring for StoneX's Japan operations. This includes reviewing advertisements and marketing materials, performing compliance surveillance on communications and transacti ...
-
Tokyo, Japan StoneXFull-time AND Permanent role as Senior Compliance Officer in Tokyo Japan, · Provide compliance advisory and regulatory reporting to the Head of Compliance. · ...
-
Tokyo Bank of America ￥4,000,000 - ￥8,000,000 per yearThis job is responsible for providing operational support for securities, loans, exchange traded derivatives and over the counter derivatives across multiple lines of business through the lifecycle of a trade. · Performs set-up and maintenance of core data across client, account, ...
-
M&A VP-Director
3日前
Tokyo BNP ParibasM&A banker with primary responsibilities to lead origination activities and execution projects with limited guidance from senior bankers. He/She is expected to lead a team comprised of Vice Presidents, Associates and/or Analysts. · ...
-
Tokyo CLSAThis position will play a critical role for the execution and origination of the ECM business in Japan. · ...
-
Tokyo iCapital ￥4,000,000 - ￥8,000,000 per yearThis is an unique and exciting opportunity to be part of an organization leading the way in alternative private market space. · Project manage and lead firm's application for Type I license from FSA. · Define compliance strategy guidelines support firm growth in Japan sustainable ...
-
Tokyo HirePlanner: Your Career Platform for Finding a Job in JapanRed Hat APAC seeks a Senior Communications Specialist based in Tokyo office.This multi-disciplined role covers public relations, analyst relations and internal communications programs for Red Hat Japan. · ...
-
Tokyo Western Union Full time￥900,000 - ￥1,200,000 per year+We are seeking an Agent Oversight Analyst to join our team in Tokyo. As an Agent Oversight Analyst, you will coordinate the agent oversight program at WUJKK in alignment with other WU entities and Agents throughout Japan. · +Provides AML/CTF Compliance support to new and existin ...
-
Institutional Sales
2週間前
Tokyo GreenstoneWe are hiring an Investor Relations professional focused on Japan. · This is a high-impact, front-office fund placement role responsible for distributing global private market funds to Japanese institutional and professional investors. · ...
-
Trainee
2ヶ月前
Tokyo Groupe Crédit Agricole ￥3,000,000 - ￥6,000,000 per yearWe are hiring a trainee for Analyst position at Energy & Infrastructure Group, Japan. You will be assisting the head of EIG Japan with PF business related to Japanese clients and/or PF projects originated in Japan, and coordinating with the broader EIG Asia team and other analyst ...
-
Tokyo CICC ￥4,320,000 - ￥6,480,000 per yearCICC Japan is hiring a Compliance Officer to ensure the company's business activities comply with relevant laws and regulations. · ...
-
Tokyo Edgewell Personal CareThis role involves managing Japan Treasury operations including cash flow management and administration of eBanking system. Key responsibilities include monitoring working capital especially for DSO with commercial section cooperation. · The ideal candidate will have strong commu ...
-
Tokyo Morgan Stanley Full timeWe are seeking a Senior Private Side Compliance officer to be based in Tokyo and report directly to the Head of Japan Private Side Compliance. The successful candidate will support the Head of Japan Private Side Compliance in leading a team to provide effective oversight of the P ...
-
ba/pm
5日前
Tokyo Jobs via eFinancialCareersThe Equity Business Analyst / Project Manager will work closely with Equity Trading, · Sales and Technology teams to deliver change initiatives across front-office trading platforms and related systems.Key Responsibilities · Partner with Equity Trading and Sales to gather analyse ...
-
Tokyo Dolby Laboratories ￥1,800,000 - ￥2,200,000 per year+Job Summary · Based in Japan reporting to the Senior Manager– Head of License Compliance in Japan & SEA This position will assist in managing Dolby's licensing compliance program ++Audit experience · Licence compliance experience · ++Contribute to Compliance revenue target and t ...
-
Tokyo Crédit Agricole CIBCredit Agricole Corporate and Investment Bank (CACIB) hiring Legal Professional in Tokyo for capital market legal work of Global Market Division. Employment full-time permanent. ...
