As a Compliance Officer, you will be responsible for ensuring the effective identification, measurement, control, and management of compliance risk across SSGM Japan, providing regulatory analysis and compliance-related advice to business and infrastructure functions, and developing, implementing, reviewing, and revising compliance risk management programs, policies, procedures, and systems.
Key responsibilities include:
- Meet requirements on the occasion of regulatory inspections as an overall coordinator.
- Ensure effective identification, measurement, control, and management of compliance risk (both local and global) across SSGM Japan.
- Provide regulatory analysis and compliance-related advice/guidance to business and infrastructure functions.
- Ensure that the compliance program of SSGM Japan unit satisfies applicable legal, regulatory, and internal requirements.
- Responsible for the development, implementation, review, and revision of compliance risk management programs, policies, procedures, and systems for SSGM Japan.
- Monitor applicable regulatory changes and provide effective change management within SSGM Japan to address such changes and keeps abreast of new products, technologies, and applications as well as their implications for assigned area.
- Independently manage compliance risk management projects.
- Be fully knowledgeable of assigned product/functional area.
- Act as a liaison with regulatory agencies, internal and external advisors, and other internal control groups on compliance/risk-related issues in area of responsibility.
- Collaborate and support Investment Services Compliance matters.
- Conducts other administrative/day-to-day duties.
Requirements include:
- Have sufficient experience (+5 years) with securities/banking regulatory inspections.
- Have skills and experience of regulatory registration especially licensing.
- Have extensive Japan securities and/or banking regulatory environment experience (+5 years) gained in compliance, risk management, and/or internal control in a financial services environment.
- Good working knowledge of the conduct of business rules and local regulatory requirements that relate to securities firms/banks.
- Proven interpersonal, communication, project management skills.
- Demonstrated problem-solving, decision-making, and negotiation skills.
- Team player.
- Ability to influence.
- Ability to build consensus.
- Ability to develop and maintain business relationships within the business unit and across the corporation.
State Street is one of the largest custodian banks, asset managers, and asset intelligence companies in the world. From technology to product innovation, we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people.
We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance, and savings plans, among other perks. You'll have access to flexible work programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.
We truly believe our employees' diverse backgrounds, experiences, and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity, and personality.
-
Tokyo State Street Full timeWho we are looking for · Develops and implements the compliance program for State Street Trust and Banking Co., Ltd. and State Street Bank and Trust Company Tokyo Branch. Enhance risk management for the business in SSGM Japan. · Ideal candidate will keep abreast of applicable ex ...
-
Chiyoda MUFG Full timeDo you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 160,000 colleagues, striving to make a difference for every client, organization ...
-
Chiyoda MUFG Full timeDo you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 160,000 colleagues, striving to make a difference for every client, organization ...
-
Chiyoda MUFG Full timeDo you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 160,000 colleagues, striving to make a difference for every client, organization ...
-
Chiyoda MUFG Full timeDo you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization ...
-
Tokyo State Street Full timeWho we are looking for · The successful candidate will be an experienced risk analyst, who thrives in a fast-moving environment and is capable of building credibility with internal members of the Investment Analytics Risk team and clients alike. They will understand client requi ...
-
Chiyoda MUFG Full timeDo you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 160,000 colleagues, striving to make a difference for every client, organization ...
-
Chiyoda MUFG Full timeDescription · : The candidate will need to understand ASO's Identity and Access Management System (IAMS) and oversees development and maintenance of this system to meet business and compliance needs. · The candidate will work closely with the IT Risk Management department in all ...
-
Chiyoda MUFG Full timeDo you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization ...
-
Chiyoda MUFG Full timeDo you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 160,000 colleagues, striving to make a difference for every client, organization ...
-
Tokyo Adidas Full timePurpose & Overall Relevance for the Organization: · Provide a high level of administrative support to Japan HR Vice President and Japan Finance Vice President and his/her team to ensure efficient management and running of the function on a day to day level · Key Responsibilities ...
-
Tokyo TeneoVice President, Strategy and Communications - Tokyo · The Opportunity · As Teneo continue to grow our operations in Asia-Pacific, we are looking for a high calibre candidate to join our dynamic and professional Strategy and Communications team as a Vice President in Tokyo. This ...
-
Tokyo PIMCO Full timePIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capita ...
-
Tokyo Marriott International Full timeJOB SUMMARY · The Senior Director, Global Sales – Japan and Korea is a key member of the Sales & Marketing leadership team responsible for providing strategic sales leadership. Sales office locations currently include Tokyo, Osaka, and Seoul. · This individual is responsible for ...
-
Project Manager
4日前
Tokyo Morgan StanleyProject Manager / Business Analyst, VP, Technology Job Number: · 3259809 Posting Date · :Oct 2, 2024 Primary Location · :Japan-Japan-Japan-TokyoEducation Level:Refer to Position Description Job · :OtherEmployment Type:Full TimeJob Level:Vice President Description We' ...
-
Tokyo Société Générale Assurances Permanent contractPXS (Pre-Trade, Execution Services) specialist - Associate/Vice President · IT (Information Technology) Permanent contract Tokyo, Japan Reference 24000KVC Start date Immediately Publication date 2024/11/05 Responsibilities · Main Responsibilities: · Responsible to communic ...
-
Tokyo NICEAt NICE, we don't limit our challenges. We challenge our limits. Always. We're ambitious. We're game changers. And we play to win. We set the highest standards and execute beyond them. And if you're like us, we can offer you the ultimate career opportunity that will light a fire ...
-
Tokyo TOK Fortrea Japan kk (Co., Ltd. in English) Full timeAs a leading global contract research organization (CRO) with a passion for scientific rigor and decades of clinical development experience, Fortrea provides pharmaceutical, biotechnology, and medical device customers a wide range of clinical development, patient access and techn ...
-
Tokyo Blackstone Full timeBlackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help c ...
-
Tokyo The International Air Transport Association PermanentEmployment Type: Permanent · Contract Duration: · At IATA, we speak for the airlines of theworld, serving and supporting over 300 of them across all continents. Weare passionate and knowledgeable about the aviation industry, and we strive tomake it safer, smarter, more sustainab ...
-
Tokyo THE BANK OF NEW YORK MELLON CORPORATIONBring your ideas. Make history. · BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or ...
