Tokyo CLSA
Key Areas of Responsibilities
Primarily responsible for compliance testing, risk inventory maintenance, and risk assessment
Information control in general, including persona data, transactional data, and other proprietary information such as trade secrets
Insider information control in close corporation with HK Control Room
Updating Japan IBD deal pipelines
Review research and sales memos, and solicitation materials such as pitch books
Advise Client Onboarding team on KYC requirements
Help other members with daily tasks such as regulatory filings and monitoring

Requirements
Bachelor's degree or above in Law, Finance, Business, or Economics
Minimum 3 years of relevant experience in Legal or Compliance
Knowledge in operations, finance, or IT would be advantage
At least 3 years of working experience in securities or asset management
Strong problem-solving and multi-tasking skills
Willing to take new challenges; proactive, ready to get involved, or initiate any risk control project deemed necessary such as those related to operational risks, information control, monitoring, to conduct control
Product knowledge in certain areas, including derivatives, M&A, private and/or public offerings, or commodities, and funds, is advantage
A team player, proactive and inquisitive who can control one's ego
Fluent in both spoken and written English
Chinese speakers are preferable
Show more Show less

  • Tokyo CLSA

    Primarily responsible for compliance testing, risk inventory maintenance, and risk assessment · ...


  • Tokyo Reinsurance Group of America, Incorporated

    You desire impactful work. · You're RGA ready · RGA is a purpose-driven organization working to solve today's challenges through innovation and collaboration. A Fortune 500 Company and listed among its World's Most Admired Companies, we're the only global reinsurance company to f ...


  • Minato Novartis

    This position offers an exceptional opportunity for individuals who want to expand their expertise while taking on new challenges in the pharmaceutical quality field. · By contributing to new product development projects and collaborating with a wide range of internal and externa ...


  • Tokyo Deutsche Bank ¥4,000,000 - ¥8,000,000 per year

    We are looking for an officer to join our Control Room team in Japan Compliance. · The successful candidate will have expertise in understanding financial regulation and strong analytical skills for delivering good and clear analysis of issues.They will also have the ability to m ...


  • Tokyo CLSA ¥450,000 - ¥550,000 per year

    Primarily responsible for compliance testing, · risk inventory maintenance, and risk assessment. · Information control in general, including persona data, · transactional data, and other proprietary information such as trade secrets.Compliance testingrisk inventory maintenanceand ...


  • Tokyo, Tokyo Wonder

    About Wonder: a leading payments gateway and FinTech platform for merchants in Hong Kong and Asia Pacific. · Perform basic compliance review for customer onboarding and due diligence processes to ensure compliance with AML/KYC regulations; · Risk Controls Assistance: assist senio ...


  • Tokyo Kroll ¥2,000,000 - ¥2,800,000 per year

    Kroll consistently provides firms with the professional investigative consulting expertise necessary to resolve conflict through fact-finding and critical analysis. · ...


  • Tokyo AlphaSights Full time

    We are looking for a Client Protection Associate to join our team in Tokyo. This is an exciting opportunity for meticulous team players with a background in operations, law, or risk management looking to transition into a high-growth commercial environment. · ...


  • Japan, Tokyo RGA

    You desire impactful work. · RGA is a purpose-driven organization working to solve today's challenges through innovation and collaboration. A Fortune 200 Company and listed among its World's Most Admired Companies, we're the only global reinsurance company to focus primarily on ...


  • Tokyo, Tokyo Reinsurance Group of America, Incorporated ¥5,500,000 - ¥10,000,000 per year

    You desire impactful work. You're RGA ready RGA is a purpose-driven organization working to solve today's challenges through innovation and collaboration. A Fortune 500 Company and listed among its World's Most Admired Companies , we're the only global reinsurance company to focu ...


  • Japan, Tokyo RGA

    You desire impactful work. · RGA is a purpose-driven organization working to solve today's challenges through innovation and collaboration. · Represents Compliance as delegate of Head of Compliance on assigned topics · Propose compliance plan for Japan which will be endorsed by t ...


  • Tokyo Fidelity International ¥800,000 - ¥1,200,000 per year

    We're proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our Legal and Compliance team and feel like you're part of something bigger. · ...


  • Tokyo Talisman Corporation

    Quality professional with strong subject knowledge, both in depth and breadth. Experience from a number of different areas of quality. · ...


  • Tokyo, Japan Kroll

    In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. · ...


  • Tokyo, Japan Kroll ¥10,800,000 - ¥15,840,000 per year

    Kroll is committed to equal opportunity and diversity, and recruits people based on merit. · We have conducted thousands of investigations worldwide and have an unmatched track record of resolving disputes and working with in-house and external counsel to successfully conduct and ...


  • Tokyo, Japan Kroll

    Kroll is a risk consulting company that specializes in human intelligence (HUMINT) gathering and analysis. Our Tokyo office has 30 years of experience and is affiliated with Keidanren. · ...


  • Tokyo AlphaSights

    About this role · This exciting opportunity offers a chance to transition into a high-growth commercial environment with AlphaSights as a Client Protection Associate. · Monitor client requests and develop policies to ensure compliance standards are met · Anticipate potential busi ...


  • Shibuya Amazon Full time¥2,500,000 - ¥5,000,000 per year

    The Global Solutions and Risk Compliance (GSRC) organization is a component of Amazon's operations dedicated to ensuring the compliance of its products and services worldwide. GSRCHandle responsibility for reviewing product information as per Standard Operations Procedures (SOP) ...


  • Tokyo, Tokyo AlphaSights

    Join a high-performing global team that works closely with our core service delivery teams to ensure our clients are always served to the highest compliance standards while enabling AlphaSights' fast-growing commercial success. · * Monitor active projects to flag and mitigate pot ...


  • Shibuya Amazon Full time

    The Global Solutions and Risk Compliance organization is a component of Amazon's operations, dedicated to ensuring the compliance of its products and services worldwide. With a diverse global team spanning across India, China, Poland, Romania, Netherlands, Jordan, Philippines and ...


  • Tokyo CBRE Japan ¥4,500,000 - ¥9,000,000 per year

    ファイナンスマネージャーは、広範な財務活動を担当する重要な戦略的役割となり、かつ、当社の最大クライアントのファイナンス担当を兼任します。事業運営における短期および長期の財務計画および分析などの FP&A 関連業務や各種レポーティング作成、財務分析などを行い、利益率の向上をサポートします。 · ファイナンスに属しながら、本社のファイナンスおよびクライアント担当のファイナンスとして、社内およびクライアントと円滑なコミュニケーションを行い、サポートを行う。 · ...