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Compliance Associate - onboarding

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Job Description

A new opportunity at a small but growing financial institution in Japan to join a specialist compliance team, working closely with the business.

Roles/Responsibilities

  • Assisting the Head of Compliance in the delivery of compliance matters for the firm.
  • Collaborating in the implementation of Compliance controls as directed by the Head of Compliance.
  • Spearheading the customer onboarding functions for our Japanese Office.
  • Engaging with account applications submitted by sales teams for efficient processing and approval for onboarding.
  • Ensuring strict adherence to published procedures and checklists in the onboarding process.
  • Following up with sales teams, regulatory compliance teams, and management to ensure timely completion of onboarding processes, including handling maintenance requests.
  • Conducting ongoing screening and maintenance of accounts to ensure accurate record-keeping.
  • Responding to queries related to data reporting and participating in ongoing monitoring reviews.

Required skills

  • Previous experience in customer onboarding or compliance.
  • Familiarity with regulatory procedures in financial services.
  • Fluent Japanese and business level English.

About our client

A global financial institution providing security trading platforms, clearing and execution and post-trade settlement.

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Consultant Details

Consultant Details

Steven Howden
Steven Howden