Senior Compliance Officer - Financial Services
Senior role reporting to the Regional Head of Compliance
International work environment
Our client is a Type 1 licensed Financial Instruments Business Operator with an established presence in Japan
- Responsible for leading all risk management activities relating to conduct risk, compliance and policy management.
- Implement regional policies and localisation of procedures for anti-bribery and corruption, whistleblowing and market abuse.
- Work closely with the Regional Compliance team to address any differences in the global policies and procedures and local requirements
- Identify regulatory challenges and changes to ensure these are addressed/implemented in good time
- Liaise with key internal (e.g. Business, IT, Regulatory Compliance, etc) and external (e.g. Regulators, advisors, vendors, partners etc) stakeholders as required
- Develop automated controls, monitoring of key risk indicators and testing
- Implement compliance monitoring programs.
- Experienced compliance and / or risk professional within the financial industry in Japan
- Knowledge of Japanese regulations related to the Financial Instruments and Exchange Act (FIEA)
- Oral and written communication skills in Japanese and English
- Experience in managing risk and compliance issues within a regulated business
- Ability to communicate effectively and influence people at all levels of seniority
- Experience in managing junior staff.
- Competitive salary package
- Broad exposure across the business
- International work environment
- Good career prospects