Global Financial Services Company
Custody Compliance VP
- Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
- Providing guidance on rules and regulations relating to function/business/product operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
- Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
- Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported function/business/product.
- Supporting the function/business/product in performing timely compliance reviews of new products.
- Assisting in the development and administration of Compliance training for the supported function/business/product.
- Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
- Additional duties as assigned
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding the company group, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Demonstrated knowledge in area of focus
- Relevant certifications desirable
- Bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of function/business/product supported and the related operations and financial requirements; Advanced degree preferred
- Proficient ("native" level) Japanese language ability is prerequisite to fully comprehend particulars of local regulatory requirements and to have written communications with external parties including regulatory bodies
- Strong English language skill to manage all types of communications in English including senior management reporting
- Must be a self-starter, flexible, innovative and adaptive
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Strong written and verbal communication and interpersonal skills
- Ability to both work collaboratively and independently; ability to navigate a complex organization
- Advanced analytical skills
- Ability to both work independently and collaborate with team members
- Excellent project management and organizational skills and capability to handle multiple projects at one time
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Further details about the company and position will be notified at a later date.