Step into a pivotal role where your expertise will be at the forefront of safeguarding our firm's integrity. This is your opportunity to thrive in a fast-paced environment, focusing on compliance within the dynamic world of exchange-traded products. Join a team that values growth, collaboration, and professional development, and make a significant impact on our compliance and risk management efforts. As part of our Compliance, Conduct & Operational Risk (CCOR) team, you'll engage with senior stakeholders and key regulators, contributing to the success of our global operations.

As a Compliance and Operational Risk, Senior Associate within our CCOR team, you will play a crucial role in providing independent guidance and oversight. Your work will be instrumental in ensuring that our business operations align with regulatory standards, ultimately contributing to the integrity and success of our firm. You will be part of a collaborative team that values honesty, curiosity, and professionalism, and you will have the chance to interact with senior stakeholders and key regulators, making a real difference in our compliance and risk management efforts.

Job Responsibilities:

Identify and manage compliance and conduct risk related to Equities and other exchange-traded products in Japan. Provide credible challenge and insight related to compliance and operational risk. Participate in risk assessment, monitoring, and testing initiatives. Draft and review Compliance policies, standards, and bulletins to support awareness of requirements. Create and deliver Compliance training presentations to emphasize important regulatory and policy principles. Manage relationships with key regulators, business stakeholders, and control partners. Oversee regulatory change processes and compliance-related projects. Communicate effectively, both orally and in writing, with all levels of the organization. Ensure adherence to Japan financial services laws and regulatory obligations.

Required Qualifications, Capabilities, and Skills:

Minimum of 3 years of experience in regulatory compliance or operational risk. Comprehensive knowledge of Japan financial services laws and regulatory obligations. Proven ability to manage regulatory and compliance projects. Strong collaboration skills and the ability to build robust relationships. Strong communication skills in both English and Japanese language. High standards of integrity and professionalism with a strong work ethic.

Preferred Qualifications, Capabilities, and Skills:

Background in legal, regulatory, compliance, or operational risk. Experience supporting exchange-traded products in Japan.