Office Compliance Officer - Securities Company

Location: Tokyo, Japan
Job Type: 正社員
Salary ¥8000000.00 - ¥11000000.00 per annum
Specialization: 法務・知財・コンプライアンス
Sub-specialization コンプライアンス
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お問合せ Nicolas Rumebe
参照 JO-2006-442814
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[Company Description]
Global Securities Company

[Responsibilities]

  • Working with the Japan Compliance COO to ensure a smooth running of the Tokyo Compliance hub;
  • Planning/ designing /implementing tools and processes to assess and improve the efficiency/quality of the Japanese platform's Compliance framework (PDCA cycle);

<Project Management>

      • Overseeing and driving business analysis of Compliance requirements in Japan; defining functional scopes thereof with stakeholders, business analysts and IT;
      • Being accountable and committed towards agreed project budget, timeline and quality;
      • Ensuring timeline of the projects is respected and ensure consistency with the overall program whenever needed or requested;
      • Proactively communicating and reporting to project stakeholders, locally, regionally or globally, as the case may be;

<Management Reporting and Management Information Systems>

      • Assist Japan Compliance COO and Japan Chief Compliance Officer in the preparation of various management reports and deliverables for senior management (Management Meetings, Board of Directors, Territory Compliance Committee, etc.)
      • Assist team leaders on the reporting of KPIs to be provided in various deliverables of Japan Compliance (e.g. number of KYC reviews; suitability reviews; gift approvals; etc.).

<Innovation and efficiency>

      • Work with the Japan Compliance COO to identify, plan and deliver improvements to operational, IT, budget, staff management and reporting processes for Compliance department;

<Permanent Control framework>

      • Help ensure that Compliance continues to contribute to company's Permanent Control framework.

<Working Groups>

      • Support senior Compliance colleagues in the coordination and contribution to various working groups across the APAC region.

<Administration>

      • Manage the logistical and administrative aspects of Japan Compliance department.
      • Assist in the preparation for the year-end budget and support the implementation of effective cost controls and allocations of costs across all the Compliance teams in Tokyo.

[Requirements]

  • Logical way of thinking
  • Ability to explain/present any issue at appropriate level of the audience
  • Self-confidence (independent mindset)
  • Ability to learn (curiosity)
  • Good communication skills
  • Not afraid of asking questions to anyone (incl. seniors, people of other departments), and will report/share information as per necessary.
  • Proactive and enthusiastic
  • Team Player who understands his/her own responsibilities as well as of the whole team
  • Ability to prioritize
  • Language: Fluent in English a must; Fluent in Japanese desirable (at least Business level) French is a plus
  • JSDA Sales Representative level 1 and Internal Control Manager (if not, to be obtained)
  • Microsoft Excel skills a must

[Preferred Knowledge, Skills and Abilities]

  • Financial industry experience or Consulting experience desirable
  • Compliance experience a plus (but not necessary)
  • Programming / VBA / Sharepoint Designer experience a plus

[Employment Type]
Full time

[Salary]
8M-11M yen
※Experiences and skills will be considered

[Location]
Tokyo


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We will review your profile and contact you within five business days should we find that you satisfy the requirements of the hiring company.
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