Senior Compliance Director
1 day ago
The Senior Compliance Director plays a pivotal role in ensuring the bank's and securities company's compliance with regulations.
Main Responsibilities:- Closely collaborate with the bank's and securities company's compliance and Anti-Money Laundering (AML) teams to integrate bank and securities compliance and AML policies and procedures.
- Oversight of group securities company compliance from the perspective of the ultimate parent company.
- Provide advisory services on group policies and procedures, and coordinate with relevant departments to ensure compliance with Japanese laws, including in the development of products and services and joint marketing activities.
- Conduct 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.
- Solid knowledge and experience in AML and compliance regulations relating to securities and capital markets products, including the Securities & Futures and Financial Advisers' Acts.
- Excellent communication skills, with the ability to navigate multiple organizations and find common ground.
- Meticulous and detailed approach.
- Collaborative, and team-oriented mindset.
- Strong stakeholder management skills.
We offer a dynamic work environment that fosters growth and development. If you are a motivated professional looking for a new challenge, please submit your application.
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