Core Compliance - Corporate Function, Technology and operations - Senior Associate

Job Description

This role resides within Core Compliance team in Japan and there are two main areas to cover.

1. Functional Coverage – be responsible for providing Compliance support and advice to Corporate Functions, Technology and Operations (“CFTO”). Corporate Functions include Senior Country Business Management Office, Audit, Finance, Tax, Credit Risk, Market Risk, Resiliency, Corporate Services and HR.
2. Location-wide Coverage of Compliance Initiatives – lead and manage key initiatives and control framework across the location including Data Privacy and Outsourcing.

Key Responsibilities

• Regulatory Management – support regulatory engagement and provide advice on regulatory changes to stakeholders in CFTO. Assist CFTO during inspections and other information requested from regulators.
• Incident Management – serve as an escalation point in Compliance for incidents (e.g., Data breach, system incidents and errors) and coordinate with relevant parties. Advise regulatory impact on the incidents and report/communicate them to regulators when necessary. Also, assist and review incident reports submitted to regulators.
• Privacy – maintain internal Policies and Procedures related to Personal Information handling in compliance with Personal Information Protection Act in Japan. Instruct each department to conduct self-checks on an annual basis and report the result of the exercise to the management.
• System Onboarding/Changes – own local due diligence process to review system onboarding/changes from Japan specific regulations, such as Firewall point of view. Coordinate with Technology, users and other Compliance Officers to assess and approve prior to go-live.
• Outsourcing – play advisory role related to outsourcing and offshoring to facilitate between local service owner and global/region counterparts. Works closely with Legal team to fulfill the regulatory requirements in Japan.

Expected Start Date:

• November 1, 2019

• Fluent level written and verbal communication skills in both Japanese and English

• Excellent analytical skills and problem solving skills

• Strong Excel, Word and Power Point skills

• Experience researching and interpreting laws and regulations

• Experience with regulatory inspections and interactions

• Excellent presentation and documentation skills

• Exceptional interpersonal and communication skills

• Attention to detail with the ability to manage multiple tasks simultaneously

• Strong control mind-set and a sense of urgency

• Technology knowledge and/or Technology background preferable