800 - 1300 万円
The client is a major global Financial Institutions covering; corporate banking, securities, and investment banking, with a long history/presence in the Japanese market.
- Responsible for the development and coordination of a compliance/firm wide Control Program (CSA/Control Testing)
- Responsible for handling the global/regional compliance reporting
- Managing/Tracking incidents reports and coordinating the remediation plans, etc.
- Manage regulatory change in close coordination with Legal and Business and Control Functions to eliminate the risk of regulatory sanctions and reputational damage
- Filing regulatory reports prepared in Compliance
- License applications / maintenance etc.
- Distribution of regulatory notice and analyze the impact
- Responsible for the implementation of new regulations/global policy to local rules
- Responsible for pre-clearance of employee trading activity, review and approve employee brokerage accounts and private investment requests
- Managing/Tracking progress of project/event within a department
- Support regulatory inspection handling to eliminate the risk of regulatory sanctions
- Other core compliance tasks
- Relevant experience in compliance, risk management or regulatory related functions
- Analytical skills and attention to detail
- JSDA Internal Control Manager (日本証券業協会 内部管理責任者) is preferable
- Behavioral competencies required
- Ability to work independently as well as part of a team
- Team player and excellent interpersonal and communication skills
- Ability to work with other departments to identify any control enhancements that will reduce associated regulatory risks
- Willingness to learn and understand regulations