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.
Job Requirements
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
