- JN -082023-1944964
- Aug 14, 2023
Join as the Deputy Head of Compliance for a small but growing financial institution in Japan, with the opportunity to step up as Head of Compliance.
- This role will begin as Deputy Head of Compliance, but will take over as Head of Compliance one the current Head retires.
- Collaborate closely with the Company's Chief Compliance Officer to develop and implement internal controls, risk management policies, and compliance procedures.
- Oversee and manage all aspects of risk and compliance, ensuring strict adherence to regulatory mandates.
- Ensure the efficient daily operations of the compliance department.
- Execute thorough Customer Due Diligence reviews, aligning with AML guidelines.
- Conduct Trade Surveillance and Transaction Monitoring assessments to detect any potential market misconduct or suspicious transactions.
- Support the filing of Suspicious Transaction Reports for identified market misconduct and review Production Orders from regulatory authorities.
- Assist in reviewing marketing materials and outsourcing arrangements.
- Maintain and update compliance policies and procedures.
- Stay vigilant regarding changes in regulations, both new and revised.
- At least 5 years' experience within compliance at a financial institution.
- Strong knowledge of regulations - both local and global - impacting securities.
- Proficiency in English and Japanese.
About our client
An innovative global on-line security brokerage firm offering unique financial products to retail clients in Japan.