Overview

YOUR IMPACT

Are you passionate about building relationship with various regulators, driving the firm’s strategic risk awareness of the business activities and being exposed to global regulatory discussions and cross-divisional partnerships? We are looking for professional to join Regulatory Practice Group (“RPG”) who wants to use their analytical and judgment skills to respond to regulatory requests and communication skills to build relationship with regulators.

OUR IMPACT

The RPG, which is part of Compliance Regulatory Affairs and Resources, is responsible for interactions with the various regulators. RPG mainly focuses on 3 main themes: i) inspection ii) regulatory inquiries iii) regulatory relationships. In addition, RPG provides other departments with the advice on regulatory-related matters.

RESPONSIBILITIES AND QUALIFICATIONS

HOW YOU WILL FULFILL YOUR POTENTIAL:

  • Assist in inspection by coordinating with other departments
  • Respond to regulatory inquiries/requests on day-to-day basis
  • Provide advice on regulatory related matters (e.g. regulatory filing, incident reporting, licensing application etc.) to other departments
  • Handles regulatory filing including incident reporting
  • Assist in building and maintaining relationship with regulators

SKILLS & EXPERIENCE WE’RE LOOKING FOR:

  • Minimum of 5 years of experience in financial services industry
  • Excellent interpersonal and 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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