Manager - Compliance - Investment Banking FinTech

Manager Compliance with Japanese Language Proficiency

Opportunity for Manager Compliance for Gurugram location(Hybrid no WFH) with a leading Investment Banking Fintech.

Key Responsibilities:

- Oversight of retail brokerage transactions using vendor tools, regulator-provided information, and other resources to identify, investigate and escalate suspicious trades or patterns

- Respond to ongoing requests and inquiries from regulators and exchanges (including the SESC, KLFB, JSDA and JPX)

- Analysis of portfolio composition and trading patterns to ensure that fair and equitable treatment of clients;

- Perform reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations

- Participate and contribute positively in business initiatives

Experience and Qualifications Required:

- Highly motivated individual with strong analytical capabilities with excellent communication and inter-personal skills

- Native Japanese speaker or having high fluency (demonstrated by the successfully completion of JLPT N1). Fluency in English is also required

- 7+ years of experience in the financial services industry in an oversight or securities operations capacity with firm understanding of concepts and practices relating to equities trading

- Good understanding of Japanese regulations and market practices, including but not limited to the Financial Instruments Exchange Law, JSDA Rules and Guidelines, and the Tokyo Stock Exchange Regulations.