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


Salary/Rate : ¥10M - ¥12M
Location : Tokyo Metropolis
Post Date :
Employment Type : Permanent
Job Reference : 21038-FS
Job Classification : 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.

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Tokyo

Ote Center Bldg, 22F
22F 1-1-3 Otemachi
100-0004 Tokyo
Phone : 03 5219 6633

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