|ポジション||Senior Compliance Officer|
|仕事内容||Initiative, Operating Mechanisms & Process:
・ Support the Business Leadership in maintaining appropriate processes and operating mechanisms that ensure that the businesses in Japan meets all Compliance, Legislative & Regulatory responsibilities.
・ Adapt and lead the roll out and implementation of Regulatory Compliance initiative which would involve and include identifying key Critical to Compliance needs, determining residual risk and improving controls.
・ Coordinate with global/Asia-Pacific level Compliance work stream leaders to provide Japan inputs and support the roll out of enhancements in response to increasing US regulation.
・ Support sustainable business growth by partnering with business Compliance leaders to incorporate relevant Regulatory Compliance screens and enhancements to New Product Introduction, Business Development (BD) and Deal Review mechanisms and processes.
・ Work with Legal, Business and Compliance teams to sustain and enhance further existing early warning systems (EWS) and operating mechanisms that monitor industry compliance activities, other trends (external and internal) and one-off but more particularly systemic compliance failures in order to take pre-emptive actions. Coordinate with, and support, the General Counsel, Asia Pacific and Chief Compliance Officer, Asia Pacific (Asia CCO) in pulling together appropriate EWS reports to the business.
Testing & Monitoring:
・ Conduct regular audits of compliance areas and support the business in driving requisition improvements/resolutions. Provide independent testing and review as may be required.
・ Define gaps/identify and resolve Regulatory & Privacy compliance related procedural issues and areas of improvement and ensure remediation actions plans are established, implemented and tracked through to closure.
・ Enhance Measurements and Dashboards to provide Leadership at all levels with appropriate indicators of Regulatory Compliance health.
Communication, Engagement & Training:
・ Establish communication and training strategy/program to drive enhanced understanding of key Regulatory Compliance & Privacy initiatives, policies & procedures.
・ Support Japan CCO in driving a pro-active Compliance Leadership and engagement program to ensure that business leaders are responsible and accountable for Regulatory compliance, and understand the compliance team is available to provide advice and guidance on developing a compliant business environment.
・ Implement and sustain effective training mechanisms to ensure the Compliance team is appropriately trained on regulatory compliance & Privacy.
・ Participate in best practice sharing through cross-business Legal and Compliance meetings and conference calls conducted in your country/region and Asia
・ Any other responsibilities that may be identified by the business and/or your managers from time to time.
・ Outstanding ability to communicate in English to interact effectively at all levels of an organization.
・ A legal and compliance background and experience in relevant business lines is highly desirable.
・ Minimum 7-10 years of relevant financial services experience, including investment banking, NPL, and structured finance. Experience in the consumer finance sector is desirable.
・ Proven experience directing and leading the implementation of key initiatives and projects across multiple jurisdictions.
Previous experience in:
・ identifying and resolving regulatory and compliance issues quickly and effectively and ability to make on the spot risk calls with proven ability to drive operational excellence;
・ dealing with Regulators and resolving concerns; and
・ developing and drafting Policies and procedures at an enterprise level.
・ Demonstrated track record of effective leadership in a relevant financial services-related business.
・ Solid understanding of legislative requirements, current compliance practices and industry standards in a relevant financial services space.
・ Understanding of Regulatory bodies and Corporate Governance practices.
・ 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 both in English and Japanese
・ 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
・ Strong business acumen, able to detect emerging trends and develop appropriate responses
・ Ability to manage effectively at both ends of the spectrum helping the business develop high level strategy with appropriate compliance inputs while being able to get into the details in relation to, and advise on key high risk process failures.
・ Imagination & Confidence.
・ Self motivated with high energy and personal integrity
・ Ability to handle matters discretely and confidentially
・ Process oriented & Proactive execution of priorities/goals.
・ Willing to work hours as needed to meet business goals.
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