We hold the integrity of its business dealings as one of the core values of the organisation and therefore the role that the compliance function fulfils is critical. The Department works in partnership with other businesses, support and operation areas to ensure that all the appropriate regulatory controls are in place efficiently and effectively through day to day advice, trainings and regular/ adhoc assurance monitoring. The Department also be engaged in various initiatives and projects to develop/enhance businesses by proactive collaboration across the functions locally and internationally. It does also work with local regulators, government bodies and industry associations in influencing and shaping future requirements to protect investors.
Purpose of the Role:
The position will be expected to be an integral part of the Japan and Asia regional Business Compliance function, which in turn is an integral part of our Global Oversight function. The position requires a candidate with a genuine interest in the compliance aspects of financial services work, with the strength and vision to develop a top flight, business focused, proactive compliance function, working across business disciplines to provide focused and clear, commercially oriented advice to the businesses with the highest integrity.
To develop our partnership with the Business and provide value added services
• Build and establish excellent working relationships with business/operation to ensure operational effectiveness within the boundaries of regulation.
• Partner with, and offer value added advice to, the business mainly our Workplace ＆ Personal Financial Health area including, but not limited to, Personal Investing business and as well as to functional support areas on regulatory and compliance issues, and lead compliance projects with minimal supervision. Also with respect to Wholesale, Institutional businesses.
• Prepare and review reports to senior management and relevant boards and committees
• Review and monitor the quality of marketing materials
• Complete （or coordinate the completion of） regulatory filings
• Review and keep all regulatory status, such as business and individual registrations are fully met with all relevant requirements and apply/obtain any additional regulatory status where necessary
To educate, influence and lead on key regulatory risks and control issues:
• Proactively identify, resolve and communicate compliance issues and trends with stake holders
• Assess implications of regulatory developments, including consultation papers on rule changes
• Develop and conduct training and education programme on compliance related matters to reinforce compliance principles.
To enhance the oversight/ assurance framework to ensure compliance controls are appropriately applied:
• Design and develop appropriate strategies to ensure legal and regulatory requirements are fully met and aligned with business needs.
• Develop and implement compliance procedures to ensure operational effectiveness and to produce reports for management information
• Work effectively with other Oversight functions to drive forward Oversight initiatives throughout Asia Pacific and Global.
• Identify current regulatory gaps/ compliance weaknesses and propose rectification measures
• Drive forward interpretation and implementation of relevant rules and regulations governing our business operations – particularly where new rules are introduced that require assessment of their impact across our operations.
• Develop account opening and anti money laundering policies （in conjunction with the AML Officer） and privacy policies （in conjunction with the Privacy Officer）
• Investigate investor complaints （in conjunction with the Complaints Officer） to ensure closure of issues
To work closely with regulators and other third parties in ensuring the integrity of the Company:
• Develop and maintain excellent working relationship with all levels of the regulators and industry associations and represent our interests.
• Liaise with regulators and draft responses to regulatory enquiries
• Review and keep all regulatory status, such as business and individual registrations are fully met with all relevant requirements and apply/obtain any additional regulatory status where necessary.
• Proactively assist the Head of Legal and Compliance, Japan and the reporting line in progressing our lobby agenda.
• Independently respond to routine and adhoc compliance requests from internal and external sources
• Perform a role to support managers for liaising with officers at the time of regulatory inspections /audits
【必須（MUST）】• Minimum 5 years working experience in financial services （asset management/bank/insurance）.
• Verbal and written communication skill both in Japanese and English is mandatory
• Excellent interpersonal communication skill at all levels junior to senior management.
• Strong analytical skills, problem solving ability and high attention to detail
• Investigative and questioning nature
• Team player who is sensitive to the needs of the functional business units
• Self starter with a can do attitude who is able to work as part of a team
• Ability to multi task and prioritize in a demanding and fast paced environment
• Good IT skills （including Microsoft Office, particularly Outlook, Word, Excel and PPT）
【歓迎（WANT）】• 2 to 5 years working experience in compliance/ regulatory assurance/ risk functions for retail business in the financial industry is preferred but not mandatory.