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Compliance Associate

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Job Description

You will play a crucial role in supporting the Japan and Asia audit team.


  • Collaborate on the assessment, planning, execution, and reporting phases of regional and global audits.
  • Actively contribute during the planning stage of audits, identifying and evaluating objectives, inherent risks, and controls.
  • Perform routine audit tests and provide recommendations to improve internal controls and governance processes.
  • Interact with essential stakeholders, both internal and external, and engage in working groups and committees to facilitate ongoing monitoring activities.
  • Acquire a thorough understanding of business and system processes, and adeptly communicate intricate technical matters to both management and colleagues in a simplified manner.

Required skills

  • Have 3 to 5 years of experience in Audit or similar roles in institutional securities, consulting, or capital markets.
  • Understand wholesale banking, trading, banking products, and basic risk management processes.
  • Proficiency in both Japanese and English is mandatory for seamless communication with internal stakeholders in Japan and global counterparts.

Preferred skills

  • Hold a Bachelor's degree or relevant professional qualifications (e.g., CIA, CFA, CPA, FRM, etc.)
  • Know about risk management areas like market risk, credit risk, operational risk, liquidity risk, or model risk.

Personal Attributes

  • Be strong in analyzing and solving problems.
  • Take initiative and work well with others in a team.

About our client
A leading global financial services firm with large presence in Japan.


Consultant Details

Consultant Details

Merei Hatanaka
Merei Hatanaka