Overview
Join a front-office team that serves Japanese corporate clients in the U.S., with a strong focus on compliance and risk management.
Support a broad range of compliance operations and risk initiatives within the Planning Team, ensuring alignment with internal policies, U.S. regulations, and Head Office requirements.
Collaborate with leadership on projects, challenges, and business initiatives that drive organizational success.
This role requires bilingual (Japanese/English) skills and offers an opportunity to gain wide exposure across compliance, risk management, and front-office support.
Responsibilities
Handle daily compliance-related operations to support front-office staff.
Interpret and apply policies, procedures, and regulations from both Japan and the U.S.
Conduct training, prepare reports, and respond to inquiries.
Maintain compliance records, including logs of important/non-public information and the ACBD1* Compliance Library.
(ACBD1 is a front office function serving Japanese corporate clients in the U.S.)
Record and follow up on risk events and incident reports; ensure remedial actions are implemented.
Oversee and update appointment/designation applications, authorization memos, and related compliance documents.
Monitor entertainment and gift procedures to ensure adherence to compliance standards.
Prepare and submit required reports to regional compliance teams and Head Office in a timely manner.
Coordinate with audit staff for internal and external audits.
Lead or support risk management initiatives covering operational, reputational, and liquidity risks.
Drive projects related to risk management and information security.
Contribute to ad-hoc projects, annual procedure reviews, and ongoing enhancements to compliance and risk frameworks.
Qualifications
Bilingual proficiency in Japanese and English (speaking, reading, writing).
Bachelor’s degree in Finance, Accounting, Business, Economics, or a related field preferred.
Experience in the banking or financial services industry is a plus.
Strong analytical, multitasking, and problem-solving abilities.
Excellent organizational and time management skills; detail-oriented and goal-driven.
Effective communication and interpersonal skills.
Proficiency in Microsoft Office applications (Excel, Word, PowerPoint, Outlook).
Ability to manage confidential information with discretion and professionalism.
Flexible and eager to learn in a dynamic, fast-paced environment.