Natixis Corporate & Investment Banking is a leading global financial institution that provides advisory, investment banking, financing, corporate banking and capital markets services to corporations, financial institutions, financial sponsors and sovereign and supranational organizations worldwide.
Our teams of experts in close to 30 countries advise clients on their strategic development, helping them to grow and transform their businesses, and maximize their positive impact.
Natixis CIB is committed to aligning its financing portfolio with a carbon neutrality path by 2050 while helping its clients reduce the environmental impact of their business.
As part of Groupe BPCE, the second largest banking group in France through the Banque Populaire and Caisse d'Epargne retail networks, Natixis CIB benefits from the Group's financial strength and solid financial ratings (Standard & Poor's: A+, Moody's: A1,Fitch Ratings:
A+, R&I: A+).
Summary of the Position
This Compliance Officer position is double hatted to Natixis Japan Securities Co., Ltd.
("NJS") and Natixis Tokyo Branch ("NTB") and expected to take responsibilities including (1) business advisory and central compliance tasks such as regulatory filing, providing Compliance training and advice on the business activities of NJS and NTB, and supporting regulatory inspection preparation, (2) Trade surveillance, (3) providing advice on AML/CFT under the Japanese laws/regulations as well as other administrative tasks relating to Compliance operation at NJS and NTB.
Since this position is double hatted and covers both NJS and NTB activities, the coverage of responsibility is not limited to above and Good team worker mind-set and attitude is required.
Main Responsibilities:
Business Advisory / Central compliance
Provide day-to-day advice (including AML/CFT) and assistance on general compliance matters for executive officers and/or employees to foster a culture of compliance that is embedded throughout NJS/NTB
Conduct Compliance Training and record keeping
Monitoring the regulatory authorities website to keep abreast of regulatory changes impacting business operations in Japan and make necessary update of internal rules and provide training where required
Make regulatory filing with the financial authorities including self-regulatory authorities
Deal with various group-wide projects such as outsourcing remediation, regulatory reporting tool development, data privacy, etc. in collaboration with APAC Compliance teams
Provide support for regulatory inspection preparation and remedial action for findings
Coordinate regulatory examinations and ensure timely and accurate responses to inquiries.
Trade Surveillance
Manage and conduct on a day-to-day trade surveillance mainly regarding cash equities transactions based on the local trade surveillance programme, including all processes, policies and procedures required by the applicable local laws, regulations and rules as well as the NAS group surveillance criteria
Escalate potential issues and exceptions noted during the review process for discussion and further investigation if deemed necessary
Interpret, assess and implement new rules and regulations relating to market surveillance in coordination with regional APAC Compliance teams
In coordination with Compliance Advisory team, lead the development of the annual compliance risks assessment which will drive the annual control plan.
Support an effective compliance monitoring and reporting framework as part of the overall NJS Compliance and Control Plan, including any related processes and procedures to ensure employees' compliance with local laws and regulations (required under the FIEA, MLBA, JSDA and JPX Rules etc).
Take corrective action where requiredPrimary contact with Japanese regulators (such as SESC, Local Finance Bureau, JSDA and JPX) on inquiries relating their investigation and develop and maintain cooperative and supportive working relationships with them
Support and advice the business teams and other operational teams on regulatory and transactional issues and queries as and if necessary, in coordination with advisory compliance; serve for questions and issues related to regulations, reputation risk, and other compliance-related areas
Administrative matters
It is expected to carry out and to be engaged in administrative tasks relating to compliance operations and regulatory/transactional issues and queries.
Required Skills:
Knowledge and experience at the global financial institution(s) either on compliance control or trade surveillance is a must
Trade surveillance experiences in a global securities firm in Japan is preffered. In this case, proven experience directing and leading the implementation of market abuse surveillance system to comply with both global and local requirements including the applicable JPX and JSDA Rules
Knowledge and experience in a global securities firm to perform compliance testing or operational risk management, etc, or otherwise strong appetite and willingness to learn and lead those control tasks with having close communication and discussion with relevant people in APAC and Global
Excellent oral and written communication skills in Japanese and English
Good Team Worker Mind-Set and Attitude
Ability to work effectively and proactively in a team environment
Demonstrate capability of managing and prioritizing several activities simultaneously
Legal background is definitely a big plus
Strong grasp of code of conduct, ethics policies and current compliance practices and industry standards
Strong interpersonal skills with ability to interface with cross -functional teams, management and front-line associates
Self-motivated with high energy and personal integrity- Ability to operate with due discretion, confidentiality, objectivity and independence
Strong analytical, process management and implementation skills, sensitivity to issues, strong facilitation and problem-solving skills
Attributes/Behaviors - Strong business acumen, ability to detect emerging compliance and industry trends and develop appropriate responses
Proficient in the use of Microsoft Outlook, Excel, Word, and PowerPoint
Native level of Japanese and fluency in English
Show more Show less
-
Compliance JP
2週間前
Tokyo Natixis Corporate & Investment Banking ￥15,000,000 - ￥25,000,000 per yearThis Compliance Officer position is double hatted to Natixis Japan Securities Co., Ltd. and Natixis Tokyo Branch, and expected to take responsibilities including business advisory and central compliance tasks, trade surveillance, and providing advice on AML/CFT under the Japanese ...
-
Compliance JP
2週間前
Tokyo Natixis Corporate & Investment Banking ￥8,000,000 - ￥15,000,000 per yearThis Compliance Officer position is double hatted to Natixis Japan Securities Co., Ltd. and Natixis Tokyo Branch and expected to take responsibilities including business advisory and central compliance tasks such as regulatory filing, providing Compliance training and advice on t ...
-
Shibuya Amazon Full time￥2,500,000 - ￥5,000,000 per yearThe Global Solutions and Risk Compliance (GSRC) organization is a component of Amazon's operations, dedicated to ensuring the compliance of its products and services worldwide. · As a Senior Compliance Associate, your responsibility is reviewing the latest product information as ...
-
Shibuya Amazon Full time￥900,000 - ￥1,200,000 per yearThe Global Solutions and Risk Compliance (GSRC) organization is a component of Amazon's operations, dedicated to ensuring the compliance of its products and services worldwide. · Performs quality audits on a daily basis using Standard Operating Procedure (SOP) and achieves self-u ...
-
Tokyo Microsoft ￥12 - ￥13 per year私たちは、Microsoft と有償サポート契約を締結された法人のお客様に対し、私たちは高度な技術力を活かしたプレミアムサポートを提供しています。Azure や Microsoft 365(M365)などのクラウドテクノロジーを駆使し、セキュリティ&コンプライアンス領域の課題解決をリードすることで、お客様のビジネス成功を支援し、Microsoft におけるサポートエンジニアは、お客様の課題を技術力で解決する「最後の砦」としての役割を担います。 · ...
-
Tokyo Microsoft ￥1,080,000 - ￥12,480,000 per year+ · 私たちは、AzureやMicrosoft 365(M365)の最先端テクノロジーを駆使し、企業のセキュリティ強化を支援するエキスパート集団です。マイクロソフトと有償サポート契約を締結されたお客様を中心に、高度な技術力を活かしたハイレベルなサービスを提供しています。 · Endpoint Protecction: · EnterpointProtetionは、マルウェア対策/EDRです。+ · MessagingProtection: · MessagingProtectionは、メールセキュリティです。+ ...
-
Tokyo Microsoft Full time￥1,500,000 - ￥4,500,000 per yearマイクロソフトのセキュリティ製品を支えるクラウド技術支援の専門チームです。個人の専門性だけでなく、チームで協力しながら課題に取り組む文化が根付いています。 · IT業界での3年以上の経験 · ソフトウェア製品のトラブルシューティング/障害対応の経験 · 社外のお客様とのコミュニケーション経験 · マイクロソフトのセキュリティ製品を支えるクラウド技術支援の専門チーム · 個人の専門性だけでなく、チームで協力しながら課題に取り組む文化 · セキュリティ製品 · クラウド技術 · チームワーク · IT業界での3年以上の経験 · ソフトウェア製品のトラブルシュ ...
-
Tokyo Microsoft ￥2,400,000 - ￥3,000,000 per year· 私たちはMicrosoft と有償サポート契約を締結された法人のお客様に対し、私たちは高度な技術力を活かしたプレミアムサポートを提供しています · 【マイクロソフトにおけるサポートエンジニアとは?】 · 最高のサービスサービスを提供するために,社内外の技術エキスパートと連携しながらセキュリティ&コンプライアンス領域などで実践的 かつ戦略的な サポート を提供します。 · - 情報保護(Information Protection) · - 電子情報開示(eDiscovery) · - リスク管理(IRM, DLP) · ...
-
Tokyo Microsoft Full time￥900,000 - ￥1,200,000 per yearマイクロソフトのサポートエンジニアは、最高のサポートサービスを提供するために、同僚や他製品担当や製品開発部門のエンジニアからの支援を受け、お客様の問題解決に向けて日々奮闘しています。社外のお客様とのコミュニケーション経験 · IT業界での3年以上の経験 · 英語/日本語:ビジネスレベル-電話/メールでのお客様コミュニケーションが求められます · クラウド経験不問 · マイクロソフトの製品を扱うことによる給与の高さ · 技術者としての経験 · ...
-
Tokyo HirePlanner Japan | Find Jobs in Japan, Work in Japan, Careers in Japan 🇯🇵 ￥6,000,000 - ￥12,000,000 per yearThe JP Controllership team will take responsibility and ownership for all controllership matters, led by the Finance Director, JP Financial Controller, who will be a key member of the local market finance team. · The JP Controllership team is expected to be both industry knowledg ...
-
Tokyo Microsoft Full time￥9,600,000 - ￥12,900,000 per year私たちはセキュリティ製品を支えるクラウド技術支援の専門チームです。個人の専門性だけでなく、チームで協力しながら課題に取り組む文化が根付いています。 · IT業界での3年以上の経験 · 社外のお客様とのコミュニケーション経験 · ...
-
Platform Engineer
2ヶ月前
Tokyo Relocate ￥600,000 - ￥1,800,000 per yearWe are looking for people who are passionate about refining our products at an overwhelming speed that other companies cannot match, as well as professionals who are interested in promoting the spread of cashless payments in Japan and the use of these payments as a financial life ...
-
Tokyo Amazon ￥6,000,000 - ￥8,000,000 per yearWe are seeking a Business Analyst to join the JP Medical Operation Team, which enables compliant pharmaceutical and medical device sales operations on Amazon. The Business Analyst will contribute to the business, operation and team growth by optimizing pharmacist workflows, deliv ...
-
Tokyo Dow ￥5,500,000 - ￥11,000,000 per yearServes as subject matter expert for Environmental Health Safety leveraged service group for Environmental Permit matters. · ...
-
Tokyo Dow Full time￥43,000 - ￥93,000 per yearWe are seeking a Product Regulatory Manager to join our team at Dow Inc., one of the world's leading materials science companies. · ...
-
Legal Specialist
2ヶ月前
Tokyo EssilorLuxottica ￥900,000 - ￥1,200,000 per yearWe are seeking a Legal Specialist to act as Company Secretary of all Board of Directors and AGM/EGMs / shareholders meetings, including draft, review and coordination of signatures of call notices, agendas, supporting legal and business documents, Minutes, books and records of th ...
-
Multi-Product Sales
2ヶ月前
Tokyo CICC ￥6,000,000 - ￥12,000,000 per yearCICC is hiring a Multi-Product Sales to support the global market business of CICCJP. · Well understand the customer-first approach and serve our prospective clients as a CICC representative sales · Compliant with regulatory rules and the Company's designated policies including J ...
-
IP Specialist
5日前
Tokyo Woven by Toyota Full time￥1,000,000 - ￥2,000,000 per yearWe are looking for an IP specialist who is passionate about implementing improvements in our patent portfolio based on the patent strategy Join us in protecting and leveraging the innovative technologies created by Woven by Toyota from an IP perspective, and work together toward ...
-
Tokyo Amazon ￥6,000,000 - ￥12,000,000 per yearWe are looking for a smart, motivated attorney to support Amazon's rapidly growing video production business. · Managing legal aspects of development, production and marketing of original video content in support of scripted, unscripted and animated video contents initiatives in ...
-
Tokyo JGA Recruitment Group | B Corp™ ￥10,000,000 - ￥120,000,000 per yearA leading international organisation with a strong presence in workforce management is seeking a skilled HR Services Manager to oversee and coordinate all HR operations across Japan. · Serve as the primary contact for HR-related matters within Japan. · Oversee the management and ...
-
Tokyo TAaKA EngineeringWe're launching our Tokyo office and seeking a hands-on Office Coordinator / Recruiter to support day-to-day operations in our Compass coworking space and lead recruiting for Japan-based roles. · Headcount Growth & Recruiting (to ~15 by 2026) · Own full-cycle recruiting (sourcing ...
