• Competitive
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Moody's
  • 2018-10-20

Compliance - Project Coordinator

Location: Tokyo, Tokyo-to, Japan

The Role / Responsibilities:
Junior/ administrative support for compliance staff members to handle, develop, update and deliver regulatory filing documents to Japanese regulators in addition to handle external and internal Compliance reports handling.

Breakdown of engagement includes but not limited to the following:

Recurring periodic requirements;
Monthly, Quarterly, and Annual reporting to JFSA
  • Coordinate, compile/update data, drafting/editing submission, collaborating with Moody's Global Compliance Project Management and occasionally interfacing with JFSA staff
Biennial Group Designation Submission
  • Coordinate/compile data, drafting/editing submission, collaborating with Moody's Global Compliance Project Management and occasionally interfacing with JFSA staff
Annual ECAI Submission
  • Coordinate/compile data, drafting/editing submission collaborating with Moody's Global Compliance Project Management
Annual Legal Ledger Review
(Compliance Internal Initiative) collaborating with Moody's Global Compliance Surveillance

Recurring Ad Hoc requirements;
  • Support Japan Target Review conducted by Moody's Global Compliance Surveillance
  • Setup and support Japan Annual/ Ad-hoc Japan Compliance Training sessions
  • Collecting most updated Personal Data sheets from each departments of entire Japan offices (PIPA requirements) bi-annually
  • Support managing and updating MJKK/MSFJ Compliance Policies and Procedures interfacing Moody's Global Compliance Policy Team
  • File, save and organize regulatory/ Compliance document files into the designated folders/files

Ad Hoc requirements;
  • JFSA filing for updates of designated local internal rules (Eg., Codes of Conduct)
    • Coordinate/compile data, drafting/editing submission, interfacing with JFSA staff
  • JFSA filing of changes of directors, statutory auditor, OC member, ROs
    • Coordinate/compile data, drafting/editing submission, interfacing with JFSA staff
  • JFSA reporting of updates to entity particulars of MJKK's Group Designated rating affiliates
Projects;
Ability to monitor progress on compliance projects when required.

Examinations;
Onsite regulatory examinations
  • Assist in data provision, documentation and communication
Internal audit
  • Assist in data provision, documentation and communication


Compliance - Moody's Investors Service
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Qualifica tions:
  • Administrative / regulatory compliance experience would be beneficial but not required
  • Experience in handling documents in financial industry
  • Good command of language skills in both English and Japanese to deal with Japanese regulatory documents and communicate with overseas internal colleagues
  • Fit to Moody's culture where highest ethical standards are required
  • Team player mindset
  • Strong interest in compliance work
  • Bachelor degree

Technical skills;
  • Communication skills in English
  • Basic computer competence in Word, Excel, and PowerPoint
  • Perseverance of integrity with flexibility under stressful situation
  • Administrative skills to organize things efficiently and the ability to multi-tasks simultaneously


Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE: MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $4.2 billion in 2017, employs approximately 11,900 people worldwide and maintains a presence in 41 countries. Further information is available at www.moodys.com.

Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.

Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.