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Sr Compliance Manager

年収:1400万 ~ 1800万

ヘッドハンター案件

部署・役職名 Sr Compliance Manager
職種
業種
勤務地
仕事内容 This role will provide oversight by:

Maintaining and managing Policy and Procedure Governance, Risk Appetite Governance and Reporting;

Collaborating with Legal to maintain an inventory of legal obligations;

Supporting maintenance of risks in line with risk taxonomy, framework and assessment process;

Providing objective, independent risk and compliance assessments and recommendations;

Supporting 1st line in prioritization of risk mitigation;

Establishing and maintaining effective stakeholder engagement across company and key regulators and escalate timely and actionable information to key stakeholders;
応募資格

【歓迎(WANT)】

Responsibilities :

Collaborate with GGRC professionals in APAC and globally to ensure effective implementation of the GGRC framework;

Manage relationship and exam/ inspection reviews with all regulators and partners and ensure inspection preparedness;

Establish processes with Legal and Government Relations to ensure awareness of all regulatory changes relevant to Japan (e.g. AML/CTF, payment regulations, consumer protection, technology, information security, privacy, data protection);

Manage regulatory reporting/inquiries vis-à-vis the Japan FSA, KLFB and JAFIC and manage appropriate regulatory response to incidents and breaches;

Review new products/services for compliance with applicable Japan regulatory requirements

Maintain and deploy GGRC management capability, including the provision of advice, insight and support to the Japan business, operational teams GGRC regional, international and other stakeholders on compliance matters, including with respect to both local and global policy;

Oversee and continue to enhance Japan AML policy and procedures, including with respect to KYC, suspicious transaction reporting, and enhanced due diligence requirements for high risk transactions;

Support the management and development of the overall Compliance Program, including with respect to

Second line of defense – risk assessments, gap analysis, control mapping

Management of internal written policies

Internal compliance training and education

Administration of governance structure

Work with the functional Internal Controls Partners (ICPs) to understand global risks impacting Japan as well as risk themes which may impact the business;

Maintain oversight of the centralized register of identified risks and issues to assist monitoring and reporting;

Ensure the GGRC framework is complete, consistent, cost effective and adds value for customers and shareholders (e.g. protecting their assets and interests);

Foster confidence and provide assurance to management that GGRC framework is effectively managed, consistent with the local regulatory requirements;

Advise on the inherent risks and/or compliance issues pertaining to proposed business strategy and plans, including whether those risks are consistent with the agreed with appetite using objectively and balance;

Reinforce roles and responsibilities with respect to embedding GGRC across the 1st and 2nd lines of defense, and provide objective oversight and challenge of strategy, key business decisions and performance, for improved outcomes;

Oversee and report on 2nd line testing and controls;

Proactively work with 3rd line of defense (Internal Audit) to understand key issues and maintain oversight on resolution plans across businesses;

Drive a culture of risk and compliance across the business.

Requirements & Qualifications :

At least 10+ years of experience in a large organization including demonstrated leadership in building risk and compliance frameworks for global financial institutions

Fluent in Japanese (spoken and written)

Strong relationship skills with Japanese regulatory bodies

Sound knowledge of risk and compliance practices/framework and Japanese regulatory obligations with respect to relevant areas of law (AML/CTF, Privacy Act, Consumer Protection, payments legislative requirements, etc.);

Broad understanding of payments, credit and retail banking

Proven ability to communicate, collaborate and manage relationships with key internal and external stakeholders on matters having significant business impact

Leadership and judgment to analyze, evaluate, develop and effectuate solutions to complex problems

Team player with creativity, resourcefulness, a passion for problem solving, comfort with ambiguity and interpersonal acumen

Ability to prioritize amongst many conflicting needs, advocate a course of action, and pursue it consistently, while remaining flexible and responsive to dynamic situations

Demonstrated ability to think strategically and innovatively and proven track record for delivering results

Excellent verbal and written communication, presentation and facilitation skills

Strong ability to source, manage and analyze data to drive risk management strategies and decisions

High energy and a desire to work in a results and team oriented, rapid growth environment

更新日 2019/11/11
求人番号 1158094

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