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今すぐ応募 ポジション : Compliance Manager |
給与 : 8 - 10M |
JobRef : 19246 |
日付 : 05 March 2012 |
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必須英語力 :
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勤務地 : 東京 |
Compliance Manager
Responsible to: Head of Legal, Compliance – Japan
Department: Group Compliance
Job Level: Manager
Department: Group Compliance
Job Level: Manager
Background to and purpose of role: To work closely with and support the Head of Legal, and Operational Risk. To assist in the delivery of effective compliance support in light of all regulatory and industry requirements as
well as internal policies and procedures.
To be involved in all areas of the Group Compliance function as appropriate.
well as internal policies and procedures.
To be involved in all areas of the Group Compliance function as appropriate.
Key responsibilities:
Proactively engage with the ongoing development, maintenance and implementation of Japan’s compliance framework;
Manage the day to day activities of the Compliance Department in Japan;
Manage all required fining to the regulators such as FSA, JSDA and FFAJ.
Provide the review and approval aspects of various process that require compliance input;
monitoring of complaints and acting as an escalation point; Active management of the overall complaint handling process, including;
Develop, coordinate and perform compliance monitoring as required;
Manage and ensure necessary employee qualification registrations are reviewed and maintained;
Assist with the development and implementation of compliance awareness training (including the administration of training records);
Assist the Group in working towards compliance with regulations, legislation, relevant industry standards and best practices;
Provide adhoc advice across the Japan business on a broad range of compliance topics (including for new business proposals);
Liaise and maintain good relationships with all areas of the business as necessary to carry out the key responsibilities;
Support the requirements of the Group Compliance, assisting colleagues on adhoc projects where necessary
Liaise as appropriate and where necessary with external bodies including auditors and other law enforcement agencies and/or
regulatory bodies including FSA, JSDA and FFAJ;
Proactively engage with the ongoing development, maintenance and implementation of Japan’s compliance framework;
Manage the day to day activities of the Compliance Department in Japan;
Manage all required fining to the regulators such as FSA, JSDA and FFAJ.
Provide the review and approval aspects of various process that require compliance input;
monitoring of complaints and acting as an escalation point; Active management of the overall complaint handling process, including;
Develop, coordinate and perform compliance monitoring as required;
Manage and ensure necessary employee qualification registrations are reviewed and maintained;
Assist with the development and implementation of compliance awareness training (including the administration of training records);
Assist the Group in working towards compliance with regulations, legislation, relevant industry standards and best practices;
Provide adhoc advice across the Japan business on a broad range of compliance topics (including for new business proposals);
Liaise and maintain good relationships with all areas of the business as necessary to carry out the key responsibilities;
Support the requirements of the Group Compliance, assisting colleagues on adhoc projects where necessary
Liaise as appropriate and where necessary with external bodies including auditors and other law enforcement agencies and/or
regulatory bodies including FSA, JSDA and FFAJ;
Personnel
Maintain personal and professional development to meet the changing demands of the role, participate in appropriate training and
encourage and support colleagues in their development;
Ensure a positive approach to challenge and provide open and honest feedback;
Take all reasonable steps to ensure appropriate confidentiality; and
Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general
level of responsibility of this role
Maintain personal and professional development to meet the changing demands of the role, participate in appropriate training and
encourage and support colleagues in their development;
Ensure a positive approach to challenge and provide open and honest feedback;
Take all reasonable steps to ensure appropriate confidentiality; and
Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general
level of responsibility of this role
Expected skill and experience
Experience in Central Compliance in the foreign financial institutions.
Experience to face the regulatory inspection such as FSA, SESC, JSDA, FFAJ
Experience in Central Compliance in the foreign financial institutions.
Experience to face the regulatory inspection such as FSA, SESC, JSDA, FFAJ
Qualification
内部管理責任者資格（JSDA, FFAJ）
Key relationships:
Group Compliance and Operational Risk team members; and Relevant regulatory bodies, self-regulatory
associations, industry associations, auditors,consultants and advisors as appropriate.
内部管理責任者資格（JSDA, FFAJ）
Key relationships:
Group Compliance and Operational Risk team members; and Relevant regulatory bodies, self-regulatory
associations, industry associations, auditors,consultants and advisors as appropriate.
Special requirements:
Potential occasional travel to other Group offices
KPI themes
Potential occasional travel to other Group offices
KPI themes
Competencies
Communication and stakeholder management
Maintain information risk expertise
Problem analysis
Resilience and drive.
Takes personal responsibility to deliver results
Works with and can manage others to deliver results
Communication and stakeholder management
Maintain information risk expertise
Problem analysis
Resilience and drive.
Takes personal responsibility to deliver results
Works with and can manage others to deliver results
Essential
Evidence of a strong knowledge and understanding of relevant rules and legislation;
Previous experience in a compliance role;
Strong Microsoft Office skills;
Flexible, organised and self motivated working style;
Good personal initiative with attention to detail;
Strong English and excellent Japanese language competence (including written and
verbal);
Five years of progressive compliance experience within financial services in Japan.
Evidence of a strong knowledge and understanding of relevant rules and legislation;
Previous experience in a compliance role;
Strong Microsoft Office skills;
Flexible, organised and self motivated working style;
Good personal initiative with attention to detail;
Strong English and excellent Japanese language competence (including written and
verbal);
Five years of progressive compliance experience within financial services in Japan.
Desirable
Experience in project management;
Strong presentation skills; and
Strong interpersonal skills including the ability to build relationships.
Experience in project management;
Strong presentation skills; and
Strong interpersonal skills including the ability to build relationships.
