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We are seeking a seasoned Compliance Officer to lead the compliance program for BNY Tokyo, including BNY Securities Japan and BNY Trust Japan. This role will serve as the primary liaison with Japanese regulators and industry bodies, ensuring full compliance with local laws and global standards. The successful candidate will work closely with Legal, Risk, Audit, and business teams to foster a strong compliance culture and support the firm's strategic goals in Japan.
In this role, you'll make an impact in the following ways:
- Regulatory Engagement: Act as the main contact for Japanese regulators (FSA, BOJ, MOF, JSDA) and industry associations. Manage regulatory exams, audits, and reporting requirements.
- Compliance Program Management: Develop and maintain the local compliance framework, conduct risk assessments, and oversee monitoring activities.
- Policy & Change Management: Update and implement local policies aligned with global standards and regulatory changes. Support new product and process compliance reviews.
- Training & Advisory: Deliver compliance training and provide ongoing advisory support to business and support teams.
- AML & Sanctions Oversight: Support AML/CTF and sanctions compliance activities, including KYC/CDD and transaction monitoring.
- Governance & Reporting: Prepare compliance reports, participate in oversight committees, and escalate key issues to senior management.
- Additional Duties: Manage whistleblower channels, coordinate with internal audit, and support cross-border compliance matters
To be successful in this role, we're seeking the following:
- Native-level Japanese and professional fluency in English.
- Designated Internal Control Manager under JSDA regulations.
- 8–10+ years of compliance experience in financial institutions, including regulatory liaison and inspections.
- Strong knowledge of AML/CTF, sanctions, data privacy, and Japanese securities laws.
- Excellent analytical, project management, and stakeholder engagement skills.
- Bachelor's degree required; advanced degrees or certifications (e.g., CAMS, CRCM) preferred.
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- America's Most Innovative Companies, Fortune, 2025
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- "Most Just Companies", Just Capital and CNBC, 2025
Our Benefits and Rewards:
BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.
BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
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