Compliance Officer – Securities and Bank コンプライアンス


Salary:

¥10M - 12M / annum

Location:

Tokyo Metropolis

Date Posted:

June 15, 2018

Employment Type:

Permanent

Job Reference:

21038-FS

Staffing Area:

Banking and financial services


Description

Duties & Responsibilities

The incumbent will be part of a Compliance team working closely with senior management, front and back offices and other corporate control functions:

  • Lead the continued development and improvement of the compliance oversight programs
  • Advise the business units and conduct day to day monitoring & surveillance over the business
  • Assist in resolution of compliance issues to ensure compliance with laws and regulations
  • Conduct day to day compliance operations/administration including regulatory and internal reporting/filing
  • Development, implementation and revision of compliance risk management programs, policies, procedures and systems
  • Act as a coordinator in projects, with regulatory agencies and on the occasion of regulatory inspections.

Requirements

  • Bachelor’s degree in Law, Accounting or Business Administration or related disciplines (professional qualification an advantage)
  • Ideally 5+ years of experience gained in financial institutions (banks and/or securities firms), regulatory agency or accounting firm
  • Sound knowledge of the relevant laws and regulations of Japan. Exposure to other jurisdictions in APAC and the US is desirable
  • Knowledge of banking and securities products and markets
  • Ability to work with virtual teams across APAC
  • Ability to manage multiple priorities while maintaining attention to detail under pressure.



Tokyo

Ote Center Bldg, 22F 1-1-3 Otemachi Japan, Tokyo 100-0004 +813 5219 6633
CRM Strategy Director
Tokyo Metropolis
Permanent
June 22, 2018
Trade Surveillance – Associate to VP
Tokyo Metropolis
Permanent
June 22, 2018
Head of Compliance
Tokyo Metropolis
Permanent
June 22, 2018
AVP – VP, AML Testing
Tokyo Metropolis
Permanent
June 22, 2018
Digital Lead
Tokyo Metropolis
Permanent
June 21, 2018
Lead Developer Support Engineer
Tokyo Metropolis
Permanent
June 20, 2018
Lead Systems-Networking Support Engineer
Tokyo Metropolis
Permanent
June 20, 2018
Data Engineer (Hadoop, Tableau in Tokyo)
Tokyo
Permanent
June 20, 2018
Lead Big Data Support Engineer
Tokyo Metropolis
Permanent
June 15, 2018
IT Operations Manager
Tokyo Metropolis
Permanent
June 15, 2018
Senior Software Engineer (C/C++/Java)
Tokyo Metropolis
Permanent
June 15, 2018
Digital Strategist
Tokyo Metropolis
Permanent
June 15, 2018
Regulatory Compliance
Tokyo Metropolis
Permanent
June 15, 2018
Head of Legal
Tokyo Metropolis
Permanent
June 15, 2018
See More Jobs >