AVP, Central Compliance


Salary:

¥8M - 12M / annum

Location:

Tokyo Metropolis

Date posted:

June 29, 2018

Employment type:

Permanent

Job reference:

0010341228-FS

Specialisation:

Banking and financial services


Description

Position Responsibilities

  • Regulatory Reporting: conduct regulatory reporting to the JFSA, industry associations, exchange and clearing houses and Tokyo Metropolitan Government
  • Participate in regulatory exams and act as liaison between firm employees and Inspectors. Coordination and management of risk assessment participate global calls as Japan representative, and coordination with other division regarding hand off items.
  • Anti-bribery: coordination in Anti-bribery and Gift & entertainment, research on previous gift & entertainment for Compliance Approver in order to review business’ request, maintenance of local G&E log for items not captured previously.
  • Mandatory Absence: coordination and management of Mandatory Absence Policy for Japan, participate in Global Mandatory Absence calls as Japan representative, coordination with stakeholders in business for maintenance of sensitive/non-sensitive employee identification and breach process.

Requirements

  • Good communication skills (colleagues, other departments and senior management) and interpersonal skill
  • Personal integrity, accountability and detail oriented;
  • Thrives in a team environment;
  • Ability to liaise across departments and adapt to different perspectives;
  • Strong writing and translation skills and ability to express ideas logically, accurately and clearly in English and Japanese;
  • PC Skills (Required - Word, Excel, and Power Point)

For more information, contact bart.ciebien @ roberthalf.jp



Tokyo

Ote Center Bldg, 22F 1-1-3 Otemachi Japan, Tokyo 100-0004 +813 5219 6633
Research Compliance
Tokyo Metropolis
Permanent
July 20, 2018
Investment Compliance Officer  コンプライアンス
Tokyo Metropolis
Permanent
July 20, 2018
Head of Legal
Tokyo Metropolis
Permanent
July 20, 2018
Cognitive computing / AI/ RPA Software Solution Architect
Tokyo Metropolis
Permanent
July 20, 2018
RPA Direct Sales / RPA営業
Tokyo Metropolis
Permanent
July 19, 2018
RPA Program Manager
Tokyo Metropolis
Permanent
July 19, 2018
CRM Strategy Analytics Director
Tokyo Metropolis
Permanent
July 11, 2018
VP, Audit 監査
Tokyo Metropolis
Permanent
July 6, 2018
VP, Asset Management Compliance
Tokyo Metropolis
Permanent
July 6, 2018
Equity Trade Surveillance
Tokyo Metropolis
Permanent
July 6, 2018
Accounting Manager / 経理部長
Nagoya
Permanent
July 4, 2018
See more jobs >