About this role
The Junior Compliance Officer (Analyst) plays a vital role in supporting the organization's compliance framework, focusing on regulatory reporting and filing, marketing material review, and employee compliance. This position is suited for candidates with at least three years of experience in asset management compliance or compliance roles within securities companies or banks. The role ensures adherence to regulatory requirements and internal policies, contributing to the firm's reputation and operational integrity.
Key Responsibilities
Regulatory Reporting and Filing:
Maintain up-to-date knowledge of reporting requirements from regulatory bodies FSA, or other self-regulatory organizations.
Coordinate with internal teams to gather necessary information for accurate and timely submissions.
Respond to regulatory inquiries and assist in regulatory audits.
Marketing Material Review:
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.
Employee Compliance:
Monitor employee adherence to internal codes of conduct and compliance policies, including personal trading, gift & entertainment and outside business activities.
Conduct compliance training sessions
Training for employees and supporting in developing training materials.
Assist in the management and resolution of compliance incidents and breaches.
Maintain accurate records of employee compliance certifications and disclosures.
Qualifications and Experience
Bachelor's degree in Finance, Business, Law, or a related field.
Minimum of 3 years’ experience within asset management, or in compliance securities companies/ 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.
Skills and Attributes
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.
Reporting Line
The Junior Compliance Officer reports to the Head of Japan Compliance.
Career Development
This position provides opportunities to grow into senior compliance roles, offering exposure to a variety of compliance functions and the chance to develop expertise in regulatory matters affecting the financial services industry.
Our benefits
To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.
Our hybrid work model
BlackRock’s hybrid work model is designed to enable a culture of collaboration and apprenticeship that enriches the experience of our employees, while supporting flexibility for all. Employees are currently required to work at least 4 days in the office per week, with the flexibility to work from home 1 day a week. Some business groups may require more time in the office due to their roles and responsibilities. We remain focused on increasing the impactful moments that arise when we work together in person – aligned with our commitment to performance and innovation. As a new joiner, you can count on this hybrid model to accelerate your learning and onboarding experience here at BlackRock.
About BlackRock
At BlackRock, we are all connected by one mission: to help more and more people experience financial well-being. Our clients, and the people they serve, are saving for retirement, paying for their children’s educations, buying homes and starting businesses. Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress.
This mission would not be possible without our smartest investment – the one we make in our employees. It’s why we’re dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive.
For additional information on BlackRock, please visit @blackrock | Twitter: @blackrock | LinkedIn: www.linkedin.com/company/blackrock
BlackRock is proud to be an Equal Opportunity Employer. We evaluate qualified applicants without regard to age, disability, family status, gender identity, race, religion, sex, sexual orientation and other protected attributes at law.
