| ポジション |
Compliance Officer ・ Program Leader |
| 雇用形態 |
正社員 |
| 業種 |
金融 |
| 職種分類 |
コンプライアンス |
| 職種 |
Legal - Compliance and Regulatory |
| 配属部署 |
Capital - Asia Pacific |
| 採用募集人数 |
1 人 |
| 仕事内容 |
◆Role Summary/Purpose
・Provide pro-active Compliance support and leadership to the Company businesses/platforms in Japan.
・Conduct Compliance review and provide inputs on general projects and policy issues.
・Support achievement of broader goals of effective legal and Our Company Policy compliance by the business you support.
・To identify emerging Compliance trends, or related regulatory and policy issues that may impact the business compliance readiness and to make appropriate recommendations.
◆Essential Responsibilities
・Lead and sustain the Compliance Operating Model/program for the business, including annual priorities and goal setting and operating rhythm/calendar (in conjunction with the Japan Chief Compliance Officer), oversight of Ombudsperson network, Compliance Review Board and Disciplinary Review Committee.
・Support business growth by partnering with business legal counsel on transactions/new product introductions to help identifying and resolving any Compliance related risks;
b) work with Originations, Risk and the Operations (and other functional teams) to ensure their processes & practices are in compliance with governmental, Our Company or Corporate policies & procedures; and
c) monitor industry compliance activities and other trends (external and internal) through appropriate early warning systems in order to take pre-emptive actions
・Work closely with business legal counsel to mitigate compliance risk exposures in Know Your Customer, Anti-Money Laundering and Privacy/Data Security related international laws and local regulatory requirements, and any other emerging risk areas and related laws/policies.
・Support the business leadership in driving organizational understanding and adherence to Integrity Policies, business specific policies & procedures as modified for country or region specific requirements
・Support the business in complying with the various laws and regulations, and licenses that may be required to conduct business in Japan. Driving a pro-active regulatory compliance approach
・Conduct regular audits on compliance areas and support the business in driving requisition improvements/resolutions
・Define gaps/identify and resolve compliance related procedural issues and areas of improvement and ensure remediation actions plans are established, implemented and tracked through to closure
・Support the business in owning the annual Session D process (annual compliance review process), plan, preparation, and pitch preparation, delivery coordination and closure of resulting actions
・Inform regional leadership, the business CRB (Compliance Review Board) and the Asia Chief Compliance Officer of issues and deficiencies through quarterly Compliance Meetings or more frequently, as needed or requested
・Establish communication and training strategy/program to drive enhanced understanding of Compliance policies & procedures
・Participate in best practice sharing through cross-business Legal and Compliance meetings and conference calls conducted in your country/region and Asia
・Administrative tasks in support of the above including maintaining files, systems and databases on a regular basis
・Any other responsibilities that may be identified by the business and/or your managers from time to time.
□ Privacy/Data Security -
・Work closely with platform Compliance Leaders and legal counsel to mitigate compliance risk exposures in Privacy/Data Security related international laws and local regulatory requirements, and any other emerging risk areas and related laws/policies.
・Coordinate with the Privacy Leader to sustain appropriate operating mechanisms that drive key initiatives and respond to key concerns, issues and investigations.
・Provide support to Joint ventures and partnerships on the Regulatory compliance & Privacy front.
◇ MAJOR CHALLENGES:
Key challenges facing the role include:
・Managing business needs with focus on advising the business on minimising risk while striving for customer-centric, efficient and compliant solutions.
・Meeting business deadlines for compliance sign-off and advice.
・Managing multiple issues concurrently with the appropriate priority, in a fast paced, comparatively high-risk environment.
◇ DECISION MAKING AUTHORITY:
Key decisions that this position makes:
・Compliance advice and sign-off as per applicable policy/guidelines on multitude of business activities including acquisitions, new products, compliance revie |
| 求める経験 |
・Minimum 5 years relevant experience, preferably in a financial services business.
・Dealing with Privacy related issues (including PIPL: Personal Information Protection Law) and the roll out of Privacy programs.
・A legal or compliance background and experience is desirable. |
| 求める人物像 |
・Imagination and Confidence.
・Self motivated with high energy and personal integrity
・Ability to handle matters discretely and confidentially
・Responsiveness.
・Acuity.
・Process oriented & Proactive execution of priorities/goals.
・Willing to work hours as needed to meet business goals. |
| 必要スキル |
・Strong interpersonal skills with ability to interface with cross functional teams, management and front line associates
・Ability to interface with regulators/regulatory agencies
・Good written and oral communication skills
・Strong analytical, process management and implementation skills
・Problem resolution, sensitivity to issues and strong facilitation skills
・Reasonable skills in the MS Office Suite (Word, Excel and PowerPoint) as well as the Internet, internet based tools and systems
※Extensive knowledge of regulations pertaining to the financial services industry, though not mandatory, would be a bonus. |
| 英語スキル |
・Proficiency in English ・ written, reading and oral, in order to communicate well with colleagues in |
| 勤務地 |
Tokyo |
| 求人番号 |
620 |
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