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Compliance Senior Business Manager

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Job Description

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

Required skills

  • 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.


Consultant Details

Consultant Details

Steven Howden
Steven Howden