Compliance Investigator (Product Control / Market Risk / Trading Experience), Associate, Tokyo

Business Unit and Role Overview
Compliance Testing Group ("CTG") is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct investigative work covering the various firm businesses and divisions. The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to refine firm processes. CTG's global team (with locations in New York, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, prosecutors, compliance professionals, lawyers and traders). The individual will work closely with Compliance and business management, and gain an understanding of both the firm's businesses and the rules and regulations under which the firm operates.
This is an exciting opportunity for an individual who enjoys investigative work and possesses deep knowledge of sales and trading, portfolio management and/or risk management functions across a variety of asset classes. An ideal candidate will leverage their prior experience in sales and trading, strategist, market risk, product controllers, legal, or audit to investigate whether activities and practices comply with policies and regulations and the firm's compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and engineers.
Responsibilities

• Propose methods of testing and execute plans discussed and agreed with a team leader
• Gather data, perform analyses, and document results
• Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
• Leverage strong communication skills to interact with Compliance and senior business management
• Team with colleagues around the globe to share findings and refine processes
• Execute multiple projects at the same time and meet tight deadlines

Basic Qualifications

• Bachelor's Degree
• Knowledge of Global Markets products, including derivative products, for example through prior experience in Product Control, Market Risk, Sales, or Trading. Prior experience in compliance, legal, regulatory, audit or risk management functions also a plus.
• Excellent written and verbal English skills, with ability to describe complex issues in a clear and concise manner
• Excellent interview, presentation, communication, time management, and analytical skills
• Integrity, motivation, intellectual curiosity, and enthusiasm
• Knowledge of Microsoft Word and Excel

Preferred Qualifications

• Product Control or Market Risk experience, or otherwise in sales and trading, compliance, legal, regulatory, audit or risk management functions
• CPA, or CFA preferred, or otherwise possess Financial instruments product knowledge (a Financial Engineering qualification, PRMIA or FRM qualifications)
• Fluency in Japanese a plus