Investment Compliance Analyst - Japanese

Roles and Responsibilities :

• Conduct thorough analysis of trade operations, ensuring compliance with regulatory requirements and internal policies.
• Collaborate with cross-functional teams to identify areas for improvement in trade processing and implement changes as needed.
• Develop and maintain relationships with key stakeholders, including traders, risk managers, and other business units to ensure effective communication and issue resolution.
• Provide expert guidance on trade compliance matters, including regulatory reporting obligations, sanctions screening, and anti-money laundering (AML) regulations.

Job Requirements :

• 5-30 years of experience in investment banking or a related field.
• Strong understanding of trade operations, trade compliance, and relevant regulations such as FINRA, SEC, CFTC etc. .
• Experience working in an investment banking environment with exposure to equity research, sales & trading desks.