Head of Compliance - Financial Company

Location: Tokyo
Contract Type: Permanent
Salary: ¥20000000.00 - ¥25000000.00 (年収)
Specialization: Legal & Compliance,
Sub Specialization: Compliance,
Contact: Nicolas Rumebe
Reference: JO-2202-468019
Nicolas Rumebe

☑Foreign business ☑English language required


[Position]
Head of Compliance

[Company Description]
Global Financial Company

[Responsibilities]
Job Description:

  • Manages professional staff and more junior managers across multiple regions/jurisdictions responsible for overseeing and managing highly complex, specialized administrative, operational and financial affairs of the Compliance function within the assigned regions/jurisdictions.
  • Directs the team's assessment of regulatory and policy requirements in order to develop programs and projects to improve multi-regional/jurisdictional compliance, and presents program and project recommendations to more senior managers and regional/jurisdictional leadership.
  • Advises on and directs business units within the regions'/jurisdictions' strategy changes to further improve each assigned region's ability to remain in compliance with or become compliant with applicable laws, policies and regulations. Maintains strong knowledge of regional/jurisdictional differences in laws, policies and regulations and appropriately requests the advice of regional/jurisdictional experts, as needed.
  • Uses strong influence and experience within the specialty area of expertise to increase the likelihood that compliance strategy changes are appropriately implemented in a timely manner by the regional/jurisdictional business units.
  • Contributes to the establishment of the overall compliance strategy and is responsible for appropriately directing the implementation of the strategy within the assigned regions/ jurisdictions.
  • Directs the team's complex, detailed analysis of existing and proposed legislation, regulatory announcements and industry practices within the region/jurisdictions in order to identify opportunities for alignment with the global compliance strategy and areas where region/jurisdiction-specific strategies are needed.
  • Leads teams of professionals specializing in multiple compliance focuses. Directly influences the ways in which business units within the region/ jurisdiction implement approved procedures to meet requirements to ensure alignment with industry best practice methodology.
  • Directs and manages the assessment and validation of specialized control processes to ensure compliance with laws, rules and regulations. Directs efforts to develop a strong compliance culture among senior business unit managers and increase organizational awareness of compliance roles and responsibilities within the assigned region/ jurisdiction.
  • Develops tools for senior business unit managers' use in explaining the compliance strategy and expectations among their teams. Uses strong, longstanding relationships with senior business unit managers to increase the likelihood of timely completion of compliance activities and responses to reports issued by regulatory agencies or audit.
  • Maintains strong relationships with regulators and government officials and appropriately escalates high impact issues raised by these contacts to more senior managers or leadership. Independently addresses issues with a moderate risk level and some potential financial impact for the organization.
  • Recruits, directs, motivates and develops professional staff and more junior managers, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team and/or lead. Provides feedback at the most critical times.
  • Directs staff and more junior managers across multiple regions/jurisdictions responsible for assessing the effectiveness of highly complex controls that help ensure ongoing compliance with key laws, regulations and policies affecting regional/jurisdictional our businesses.
  • Directs the team's completion of comprehensive, risk-based reviews of existing and emerging regulatory requirements and provision of prompt, focused feedback to business management on concerning issues and control gaps. Implements corrective action and issue tracking to ensure resolution efforts proceed timely and effectively.
  • Is responsible for the accuracy of reporting produced by the team and the appropriately escalation of the most significant issues to senior management. Manages teams of professional staff and more junior managers across multiple regions/jurisdictions.
  • Responsible for the achievement of goals and objectives across multiple regions. Ensures regions are equipped to operationalize and attain regional objectives. Ensures appropriate financial and human resource allocation. Modified based upon local regulations/requirements.

[Requirements]

  • Bachelor's degree or the equivalent combination of education and experience is required. MBA, JD or professional certification preferred.
  • 12-15 years of total work experience, with 3-5 years of management experience, preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred

[Salary]
20~25 million JPY
(Experiences and skills will be considered)

Please click "apply" if you are interested in the job.
We will review your profile and contact you within five business days should we find that you satisfy the requirements of the hiring company.
Further details about the company and position will be notified at a later date.

Reference: JO-2202-468019
Seniority Level: Director
Job Function: Legal