Job Description / Responsibility
A growing financial institution is seeking an experienced Compliance Officer to join it’s team in Tokyo.
In this role, your primary responsibility will be to ensure that the entity identifies and satisfies its regulatory obligations.
Other tasks will include;
- Building and managing an effective working relationship with regulatory bodies, government agencies and other industry organizations.
- Overseeing and implementing the compliance framework, policies and procedures to support the application of licenses in Japan.
- Provision of compliance advice to the business including: responding to ad hoc queries, new products and business proposals, consideration of reputation risk matters, policy updates, training and assessing regulatory change.
- Execution of a risk based compliance testing program including: a formal risk assessment, business reviews, thematic reviews and testing, surveillance and logging, escalation and ensuring resolution of relevant items
- Execution of various core compliance processes including: information and information wall management, reporting, registrations, licensing, gifts & entertainment, personal account dealing, employee trading, conflicts, projects and breaches.
To be considered for this role, you must have;
- At least 8 years of relevant experience (have worked in Compliance, or Legal)
- Have exposure to financial products
- Have had previous interactions with regulators during inspections
- Possess native level Japanese with business level English