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 required
• Primary 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