Senior Associate, Regulatory Compliance

Job Description

Responsibilities

We are seeking a highly skilled Senior Associate to join our team for the provision of compliance consultancy services to clients. The ideal candidate will have a good background in regulatory compliance and exceptional client-facing abilities. This role involves providing comprehensive compliance advisory services to clients regulated by the Financial Services Agency (FSA) or registered with the Kanto Local Finance Bureau and addressing complex compliance issues.

Tasks

• Client Management : Serve as the primary point of contact for clients, delivering compliance consultancy services to FSA-regulated financial institutions.
• Compliance Support : Efficiently handle client compliance inquiries and provide timely responses to ensure client satisfaction and compliance with regulations.
• Research and Advisory : Conduct thorough research on regulatory updates, rules, and regulations, providing clients with timely advice to navigate compliance challenges.
• Compliance Meetings : Conduct regular compliance meetings with clients, delivering comprehensive compliance reports and updates efficiently.
• Monitoring Reviews : Undertake periodic compliance monitoring reviews by executing a compliance monitoring plan tailored to each client’s needs.
• Regulatory Reporting : Draft and review regulatory reports and returns as required, ensuring accuracy and compliance with regulatory standards.

Other