AVP, Securities and Global Markets Oversight (Compliance Department)

Job Responsibilities

 

• Working closely with the bank’s and securities company’s compliance and AML teams, integration of bank and securities compliance and AML policies and procedures to ensure consistency.
• Oversight of group securities company compliance from the perspective of the ultimate parent company.
• Advising on group policies and procedures, and co-ordinating with relevant departments to ensure compliance with Japanese laws, including in the development of products and services and joint marketing activities
• Monitoring and testing to ensure compliance  with compliance  and AML requirements by employees who are in dual-hatting capacity or acting in collaboration across entities
• Collaborate with relevant departments of the bank’s Head Office and parent company.

 

 

• Sound knowledge and experience in AML and compliance regulations in relating to securities and capital and global markets products, including the Securities & Futures and Financial Advisers’ Acts is essential
• Good communications skills, with ability to navigate multiple organizations and find common ground
• Meticulous and detailed
• Collaborative, and team oriented
• Strong stakeholder management skills