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.
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
- Meticulous and detailed
- Collaborative, and team oriented
- Strong stakeholder management skills
