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Compliance Tester

Job Seekers Japan Legal & Compliance, Risk Management Investment Banking

Job Description

Top tier Global Investment Bank is Seeking a Compliance Investigator at the AVP / VP Level


  • This role will focus on second line testing and assurance on global markets (sales and trading) division
  • Carry out investigations and reviews on control processes and compliance frameworks (like an audit role but within compliance and focused more on front office aspects.)
  • Expected to introduce testing methods and able to execute plans discussed and agreed upon with team lead
  • Identify potential compliance, conduct, and reputational risks, and escalate appropriately
  • Fluent English / Conversational Japanese - must have right to work in Japan

Required skills

  • Securities product knowledge is essential - ideally on FICC side but can consider an equites background - if interested to cover FICC
  • Strong candidates will have a background in Advisory Compliance (FICC or Equities), Market Risk / Product Control or from Internal Audit (focused on global markets/ front office functions)
  • 4+ years Experience

About our client
Top tier global investment bank, with a dynamic environment which offers the atmosphere to step-up your career. They offer hybrid working arrangements and global interactions between APAC and the US

Morgan McKinley Asia Pac is acting as an Employment Agency in relation to this vacancy.


Consultant Details

Consultant Details

Salvatore Martone
Salvatore Martone
  • Consultant | Legal & GRC Recruitment
  • +813 4550 6517