Junior Compliance Officer, Analyst, Japan at BlackRock

Tokyo, Japan

Not SpecifiedCompensation

Junior (1 to 2 years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Financial Services, SecuritiesIndustries

Bachelor's degree in Finance, Business, Law, or a related field
Minimum of 3 years’ experience within asset management, or in compliance roles at securities companies or banks
Strong understanding of regulatory frameworks governing financial institutions in Japan
Excellent attention to detail and analytical skills
Effective communication and interpersonal abilities in both Japanese and English
Ability to interpret and apply complex regulations to business operations
Strong organizational and time management skills
Proactive approach to identifying and mitigating compliance risks
Team player

Maintain up-to-date knowledge of reporting requirements from regulatory bodies such as FSA or other self-regulatory organizations
Coordinate with internal teams to gather necessary information for accurate and timely regulatory submissions
Respond to regulatory inquiries and assist in regulatory audits
Review and approve marketing and promotional materials to ensure compliance with local regulatory standards
Advise marketing and product teams on disclosure requirements and prohibited practices
Stay informed of changes in advertising regulations affecting asset management, securities, or banking products
Monitor employee adherence to internal codes of conduct and compliance policies, including personal trading, gifts & entertainment, and outside business activities
Conduct compliance training sessions for employees and support in developing training materials
Assist in the management and resolution of compliance incidents and breaches
Maintain accurate records of employee compliance certifications and disclosures

Regulatory Reporting

FSA Compliance

Marketing Material Review

Employee Compliance Monitoring

Personal Trading Surveillance

Compliance Training

Regulatory Audits

Japanese Financial Regulations

BlackRock

New York City, New YorkHeadquarters

1988Year Founded

$78,647.7MTotal Funding

IPOCompany Stage

Fintech, Financial ServicesIndustries