Senior Compliance Officer

4日前

Tokyo StoneX

Overview

Job purpose:

In order to support this exciting growth in the business, the Compliance department of the Japan office is seeking to hire suitably qualified persons to fill the role as Senior Compliance Associate - Japan

Responsibilities

General Duties:

  • Reporting to, and working together with the Head of Compliance – Japan, in all aspects of the regulatory obligations of the entity in order to maintain the pre-requisite licenses.
  • Key functional responsibilities comprising of regulatory compliance, compliance advisory, compliance monitoring and anti-financial crime compliance.
  • Maintenance of Compliance Risk Assessments to ensure that latest regulatory risk exposures are being continuously complied, mitigated and managed.
  • Assisting in the documentation of Policies for the firm to articulate regulatory obligations to be mitigated through controls in Procedures by first line functions.
  • Assisting in the preparation of the Annual Compliance Plan for Board approval and implementation together with the Compliance Monitoring Program.
  • Working together with regulatory agencies (FSA and JSDA), internal and external audit engagements, if required.
  • Familiarity with FIEA, FETA & AML Act legislations relating to securities dealing and brokerage; specifically, CFDs, over-the-counter derivatives and foreign exchange transactions.

    • Qualifications

    Qualifications:

  • Tertiary-related qualifications including Diploma or Degree or Professional Qualifications.
  • Experience in a Compliance function or role for an FSA and/or JSDA regulated entity.
  • Fluency in Spoken and Written Japanese
  • Competency in spoken and written English.
  • Working knowledge of Microsoft Outlook/Word/Excel Skills

    • Skills:

  • Ability to work as part of a team, and be a key contributor.
  • Keen attention to detail.
  • Willingness to work under tight deadlines.
  • Comfortable with the use of PC-based enterprise applications
  • Cordial, humble and friendly disposition for engagement with multiple internal and external stakeholders.
  • Firm and decisive decision making with willingness to assume responsibility and accountability.

    • Senior Specialist, PV, Compliance

      4日前

      Tokyo AbbVie フルタイム

      求人内容 · ミッション/Mission · 患者さんの安心と安全を守る砦となる 結果責任/Responsibility · ・ 全てのMedical Activityに対する業界・社内規則の遵守・徹底 · ・ 日本国内の規制要件およびアッヴィ本社のルールに対するコンプライアンス遵守の維持・向上 · ・ 全ての担当業務と医学統括本部全体の戦略的整合性の担保 · ・ エビデンスソリューション統括部との協働によるGVP/GPSP管理業務遂行 役割/Role · ・法令遵守 国内規制要件、GVP/GPSP、AbbVie Policy/SOPの遵守・ ...

    • VP-Senior Compliance Officer

      3日前

      Tokyo Moody's

      JOB TITLE Vice President Senior Compliance Officer ENTITY Moody's Shared Service LINE OF BUSINESS Compliance Asia-Pacific LOCATION Japan REPORTING TO Designated Compliance Officer APAC The Role / Responsibilities: · Moody's compliance function operates globally to provide comp ...

    • VP-Senior Compliance Officer

      4日前

      Tokyo Moody's

      JOB TITLE · Vice President Senior Compliance Officer · ENTITY · Moody's Investors Service · LINE OF BUSINESS/ · DEPARTMENT · Compliance Asia-Pacific · LOCATION · Japan · REPORTING TO · Designated Compliance Officer APAC · The Role / Responsibilities: · Moody's compliance f ...

    • Chief Compliance Officer

      7日前

      Tokyo Amazon Gift Cards Japan G.K. Full time

      Amazon is seeking an experienced financial services compliance professional to serve as the Compliance Officer/Chief Compliance Officer for our regulated payments entity in Japan (prepaid instruments, such as Gift Cards, and insurance products, such as Pet Insurance). · The idea ...

    • Compliance Officer

      1日前

      Japan Cornerstone Recruitment Japan

      【COMPANY OVERVIEW】 · A global asset management firm · 【JOB RESPONSIBILITIES】 · Local regulatory and SRO filing · Perform monitoring tasks to ensure regulatory, client-specified, and internally established investment restrictions are complied with. · Review sales and marketing m ...

    • Regional Compliance Officer

      2時間前

      Tokyo JP23 Alcon Japan Ltd. Company Full time

      Major Accountabilities · Under the overall leadership of the Regional Legal & Compliance Head, and in close coordination with the Division Integrity & Compliance Head, enable and drive ethical business conduct through the effective implementation of the Integrity and Compliance ...

    • Governance and Compliance Officer

      2時間前

      Tokyo Rakuten Full time

      Description · : Business Overview · We are responsible for compliance within Rakuten Group (including the GRC area, as well as the legal and intellectual property, etc.). · Department Overview · We are in charge of compliance for Rakuten Mobile and other related organizations ...

    • AFC & Compliance Officer

      7日前

      Chiyoda 0854 DWS Investments Japan Limited Full time

      Description · : Employer: DWS Group · Title: AFC & Compliance Officer · Location: Tokyo · Job Code: #LI-ZL1 #LI-03 · About DWS: · Today, markets face a whole new set of pressures – but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to ...

    • Chief Compliance Officer

      2日前

      Chiyoda ING Full time

      Head of Compliance (HoC) leads the Local Compliance department and engages support from Regional Compliance to ensure the organisation is compliant by desire and design by embedding sound Compliance Risk Management practices throughout the organisation. You manage risks and act a ...

    • Chief Compliance Officer

      1週間前

      Chiyoda-ku ING Full time

      Head of Compliance (HoC) leads the Local Compliance department and engages support from Regional Compliance to ensure the organisation is compliant by desire and design by embedding sound Compliance Risk Management practices throughout the organisation. You manage risks and act a ...

    • Senior Manager, License Compliance

      7日前

      Tokyo Autodesk Full time

      Position Overview · You will report directly to the Senior Director, License Compliance in a hybrid position. You will lead a team in License Compliance Sales to develop strategies to ensure the revenue generation of Autodesk's License Compliance software program. You will resea ...

    • Senior Manager, Security Compliance

      2時間前

      Tokyo Box

      WHAT IS BOX? · Box is the market leader for Cloud Content Management. Our mission is to power how the world works together. Box is partnering with enterprise organizations to accelerate their digital transformation by creating a single platform for secure content management, col ...

    • Ethics & Compliance Officer Japan/South Korea

      1日前

      Tokyo CSL Full time

      Job Purpose · The Ethics & Compliance Officer Japan & South Korea is responsible for implementing strategic goals, planning efforts, managing projects and providing measurable inputs into processes, standards and operational plans for the Ethics & Compliance function for CSL Beh ...

    • Senior Lead, Global Compliance and Strategy, APAC

      3日前

      Tokyo Medidata Solutions

      Medidata: Power Smarter Treatments and Healthier People · Medidata, a Dassault Systèmes company, is leading the digital transformation of life sciences, creating hope for millions of people. Medidata helps generate the evidence and insights to help pharmaceutical, biotech, medica ...

    • Senior BCM and Safety officer

      2時間前

      Tokyo Philips Full time

      Job Title · Senior BCM and Safety officerJob Description · In this role, you will be part of the market health and safety team where you can take full use of your expertise and experience in health and safety. You will be pivotal in improving Philips H&S performance and reducing ...

    • Human Resource Senior Officer

      1日前

      Tokyo Turner & Townsend Full time

      Job Description · 1. HR Administration: · Assist in payroll preparation and collaborate with the finance team to ensure accurate and timely processing. · Maintain accurate and up-to-date employee records in compliance with local regulations. · Support the coordination of perfo ...

    • Human Resource Senior Officer

      2日前

      Tokyo Turner & Townsend Full time

      Company Description · Overview: To support the set-up and delivery of retail projects and programmes from initial feasibility stage through to design, procurement, construction, and successful handover. You will be a project manager representing the end user client, taking the p ...

    • Senior Manager, Human Resources and Office Administration

      2日前

      Tokyo Invenergy LLC Full time

      Invenergy drives innovation in energy. Powered by decades of entrepreneurial experience and unparalleled execution, we solve the energy challenges facing our customers and communities. We provide power generation and storage solutions at scale around the world to create a cleaner ...

    • Ethics & Compliance Officer Japan/South Korea

      2日前

      Koto City CSL Behring Full time

      Job Purpose · The Ethics & Compliance Officer Japan & South Korea is responsible for implementing strategic goals, planning efforts, managing projects and providing measurable inputs into processes, standards and operational plans for the Ethics & Compliance function for CSL Behr ...

    • Senior Product Manager – Enterprise Cloud Enablement Office, Enterprise Cloud Foundation Department

      2日前

      Tokyo Rakuten Full time

      Description · : Department Overview We, at Enterprise Cloud Foundation Department (EFD), are developing Cloud platform and commercialization of our company Rakuten's technology asset. · Product scope includes "marketing automation", "membership management", "Rakuten Point (loya ...