Chief Compliance Officer (Japan)

Head of Compliance (HoC) leads the Local Compliance department and engages support from Regional Compliance to ensure the organisation is compliant by desire and design by embedding sound Compliance Risk Management practices throughout the organisation. You manage risks and act as a navigator for the bank by leading the interpretation of rules and regulations and subsequent translation towards the bank. You build and maintain relationships with regulators. You are mandated to set requirements and take decisions on processes, products, and new initiatives.

You will hierarchically report into the local Country Manager and functionally into the Regional Head of Compliance (Asia).

You take ownership on risk management and follow the appropriate procedures to assess and mitigate non-financial risk while operating complex standardised business processes, to protect the organisation from undue risks.

You drive the compliance culture throughout the local organisation

You contribute to better business, while pro-actively managing associated compliance risks by challenging business initiatives and processes and leveraging on regional teams for support, guidance, and prior learnings (if any) and ensuring prompt identification of material compliance deficiencies / issues.

You build and maintain relationships with local authorities.

Act as the local Money Laundering Reporting Officer (MLRO) and monitor FEC/CDD related events

Act as the local Whistle blower Reporting Officer

Act as the Compliance representative to local regulatory bodies which may or may not require registration

You are responsible to plan and conduct the Compliance Charter & E2E Framework review at local level (e.g., branch implementation of Compliance framework pillars), report observations, best practices to both local and regional management

Facilitates on local legal matters including: preparation of local application to submit Legal Affairs Bureau to maintain the Tokyo Branch Corporate Registry, maintain Tokyo’s branch proxy list, local litigation matters.

Your work environment

The compliance department is part of the Risk organizational structure

The compliance consists of separate teams in the areas of Financial Crime Compliance, Conduct Compliance & Culture and Compliance Quality Assurance executed across both local and regional support models.

REQ-10073793