Compliance Tester

Job Description

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

Roles/Responsibilities

• 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.