Compliance Analyst.
This mandate is run by SYMPHONI HR, a Mumbai-based executive search firm, est. 2003. Applications are email-verified and reach the search team running the role — confidentially, always.
About the organisation.
Our client is a prominent global financial services institution with a strong presence in international markets. They are committed to maintaining the highest standards of regulatory compliance and operational excellence across their diverse business lines. The firm fosters a collaborative culture that values professional growth and innovation in the financial sector.
About the role.
This role involves supporting the compliance function with a focus on Asia-Pacific and Tokyo-specific regulatory policies. You will play a critical role in ensuring adherence to financial regulations, managing regulatory registrations, and supporting cross-functional projects. The position offers exposure to complex regulatory environments and the opportunity to leverage data-driven tools to enhance compliance processes.
What you will do.
- Monitor and ensure compliance with AEJ and Tokyo-specific regulatory policies.
- Manage and maintain regulatory registrations and certifications for the firm.
- Support the implementation and oversight of EMEA regulatory requirements.
- Lead and contribute to compliance-related projects to improve operational efficiency.
- Utilize data analytics tools to identify and mitigate potential compliance risks.
- Prepare detailed reports and presentations for senior management using MS Office.
- Develop and maintain automated solutions using Excel macros and Python to streamline workflows.
- Apply AI, LLM, and ML concepts to enhance monitoring and reporting capabilities.
What you bring.
- 2–5 years of experience in the investment banking or financial services sector.
- Strong understanding of the financial regulatory environment and compliance frameworks.
- Proficiency in MS Office suite, specifically Word, PowerPoint, and Excel.
- Technical skills in Power BI, Tableau, Excel macros, and Python coding.
- Familiarity with AI, LLM, and ML basics for process optimization.
- Excellent written and verbal communication skills.
- Strong analytical mindset with a proactive approach to risk awareness.
- Proven ability to manage projects effectively in a hybrid work environment.
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