Compliance- Controls&Testing Associate

  • Competitive
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Non-disclosed
  • 09 Sep 16

Working closely with the business, compliance professionals ensure that our risk based programme is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance through the development and management of strategies that are sustainable and increases the trust of our clients.

  • Support Regional and Country Head of CCT in the operation of the global CCT framework, in close coordination with the global functional team, as well as regional stakeholders
  • Leading on and assisting with effective compliance monitoring activities for APAC, that meet global and local regulatory requirements and internal standards
  • Development of relationships, and collaboration within Compliance and Business stakeholders, including those in other Infrastructure functions to assist the Compliance function in the discharge of its Annual Compliance Plan;
  • Development and maintenance of Management Information to inform Senior management
  • Assisting in any ad-hoc projects and tasks as necessary

Key Requirements

  • Strong communication skills (verbal and written) to face the Business and other Internal stakeholders to ensure the Compliance impact is instilled
  • Mentoring skills to guide team members to in turn provide strong impact and leadership with the Business, and working as a team member
  • Strong Fixed Income product knowledge that can be imparted to team members
  • Understanding of FIEL and JSDA regulations relevant to Fixed Income area
  • Native Japanese and fluent in English (both written and verbal)
  • Strong problem solving and analytical skills
  • Work experience in financial industry as Compliance officer