Compliance Analyst

This role involves supporting the compliance function with a focus on Asia-Pacific and Tokyo-specific regulatory policies. You will play a critical role in ensuring adherence to financial regulations, managing regulatory registrations, and supporting cross-functional projects. The position offers exposure to complex regulatory environments and the opportunity to leverage data-driven tools to enhance compliance processes.

Our client is a prominent global financial services institution with a strong presence in international markets. They are committed to maintaining the highest standards of regulatory compliance and operational excellence across their diverse business lines. The firm fosters a collaborative culture that values professional growth and innovation in the financial sector.

Responsibilities

• Monitor and ensure compliance with AEJ and Tokyo-specific regulatory policies.
• Manage and maintain regulatory registrations and certifications for the firm.
• Support the implementation and oversight of EMEA regulatory requirements.
• Lead and contribute to compliance-related projects to improve operational efficiency.
• Utilize data analytics tools to identify and mitigate potential compliance risks.
• Prepare detailed reports and presentations for senior management using MS Office.
• Develop and maintain automated solutions using Excel macros and Python to streamline workflows.
• Apply AI, LLM, and ML concepts to enhance monitoring and reporting capabilities.

Requirements

• 2-5 years of experience in the investment banking or financial services sector.
• Strong understanding of the financial regulatory environment and compliance frameworks.
• Proficiency in MS Office suite, specifically Word, PowerPoint, and Excel.
• Technical skills in Power BI, Tableau, Excel macros, and Python coding.
• Familiarity with AI, LLM, and ML basics for process optimization.
• Excellent written and verbal communication skills.
• Strong analytical mindset with a proactive approach to risk awareness.
• Proven ability to manage projects effectively in a hybrid work environment.