- JN -082023-1944572
- Aug 07, 2023
Manage the Compliance COO office, reporting into the Head of Compliance and responsible for central compliance and business management of the whole department.
- Ensure the appropriateness and adequateness of the determination made by each business line compliance officer regarding incidents and/or findings identified. and manage the appropriate follow up to these.
- Support the Head of Compliance Division for the implementation of governance and strategies.
- Face management and represent Compliance Division in meetings on behalf of Head of Compliance Division in case of absence.
- Manage and supervise the team to deliver a reliable and quality workforce, and control the team's process for better delivery.
- Train and mentor compliance members.
- Inspection Handling - proactively support the chair to lead the readiness of Ginko/Shoken for coming inspections, manage command center during the inspection, and close follow-up of findings and recommendation in post inspection phase.
- Ensure project management for Compliance key initiatives & projects.
- Drive end to end operational efficiency improvements to provide efficiency and effective service by compliance
- Strong interpersonal skills with the ability to communicate and consult at all levels, especially with Senior Management
- Strong knowledge of regulation with compliance experience and sense of controls
- Native Japanese and business fluency in English.
About our client
A leading global financial institution offering divers financial products to clients in Asia and Japan.