Workplace Solutions Compliance Officer, Vice President, Japan
You will need to be curious, proactive, self-motivated, thoughtful, agile, open to professional growth and new responsibilities in the execution of the Compliance program for these areas and will be equally committed to delivering as an individual contributor and as a member of the team working across Asset & Wealth Management lines of business and Compliance, Conduct and Operational Risk ("CCOR”) organization and Workplace Solutions Japan entities.
As a Vice President, Workplace Solutions Compliance Officer, Japan within the CCOR organization you will work closely with management, business teams, and control parties to ensure business activities satisfy pertinent regulatory requirements. You will also assess compliance risks, prepare what is needed to become a JFSA licensed firm, lead the he build of a compliance risk management function for Workplace Solutions Japan, and provide guidance and training to employees to facilitate compliance with applicable conduct-of-business regulations and policies governing Workplace Solutions Japan’s businesses. Your role will be pivotal in cultivating a stronger, unified culture that embraces a sense of personal accountability for developing the highest corporate standards in governance and controls across the firm.
Job Responsibilities:
- Coordinating regulatory engagements (license application/exams/surveys/enquires/ad hoc requests), analyzing implication of regulatory developments (consultation papers/regulatory changes) consolidating feedbacks from business teams, and build necessary set up for better compliance risk management
- Providing second line of defense oversight and challenge of the businesses processes and controls related to CCOR relevant risks, currently known as Control and Operational Risk Evaluation (CORE) and engage in other risk assessments needed
- Facilitating the preparation and delivery of relevant compliance trainings
- Supporting other areas of the global team’s coverage including sales and distribution, brokerage, employee compliance, client service; fiduciary/advisor obligations and the Asset & Wealth Management Compliance Program more broadly
- Providing oversight to the anti-money laundering programs
- Provide oversight and challenge to the data protection and fire-wall framework from an internal business line and cross business perspective
- Providing support to surveillance programs in trade, communications and employee compliance
- Provide review and monitoring of the first line of defence regulatory reporting as well as books and records maintenance framework.
- Periodic review of policies and standards to ensure adherence to local rules and regulations
- Reporting and attending local governance (board meetings and local forums) and provision of management information to global governance forums
- Provide contribution as a member of Workplace Solutions Japan
Required qualifications, capabilities, and skills:
- Bachelor’s degree in Law, Business, Finance and / or related fields
- 10 years minimum of work experience in Compliance, Operational Risk, Audit or Business Control Functions of Financial Institutions
- Experience in acting as Money Laundering Reporting Officer
- Extensive knowledge of financial regulation and Self-Regulatory Organization rules relevant to the businesses and products
- Effective communication skills, detail-oriented, organized attitude and working manner with teamwork spirit
- Superior problem solving and analytical skills, capable to work independently and also be a team player
- Ability to gain partnership with the business and challenge the status quo
- Japanese and English language proficiency
Preferred qualifications, capabilities, and skills:
- Experience in acting as compliance officer for an intermediary business license holder or Type 1 or Type 2 business license holder is desirable
- Holder of JSDA’s Internal Administration qualification and JSDA’s Type 1 Certified Securities Broker Representative is strongly preferred
- Experience in dealing with regulatory exams is a plus
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