【ステート・ストリート】Head of Compliance-Japan, Vice President -State Street Global Advisors
仕事内容
What you will be responsible for
As Head of Compliance in Japan, you will be responsible to
Leading and supervising the Japan Compliance team in provide ongoing compliance advisory and licensing support to local senior management and business team
Participate in new business or financial product launch to provide compliance advice on different new business initiative/products and conduct suitability review
Educating compliance and business personnel on applicable compliance-related rules and regulations,
Escalate compliance issues or concerns to the attention of senior management
Review marketing materials and refine the process on a risk-based approach
Managing key projects from the initiation and planning stages through execution and completion
Interacting with regulatory agencies and internal/external legal staff on regulatory exams and inquiries
Keep abreast of and preparing the local office for regulatory developments and also monitor relevant regulatory findings, reprimands, notices and guidelines by the regulators where appropriate
Review/prepare regulatory filings on behalf of SSGA Japan.
Supporting the continuous enhancement of SSGA’s compliance monitoring program and risk assessment.
Preparing/conducting and presenting annual and periodic compliance program reports/reviews to satisfy clients, regulators, and internal management requirements, where applicable
Developing, implementing, and administering compliance policies and procedures.
応募資格(必須経験など)
What we value
These skills will help you succeed in this role
Strong analytical skills and organizational skills
Ability to work independently and collaboratively with various levels of the organization
A high degree of self-motivation and ability to work under pressure without compromising quality
Strong abilities in analytical thinking, problem solving, research, time management, and verbal and written communication
Ability to take initiative, to negotiate, influence and build consensus and successfully navigate within a demanding and international environment of a leading global financial institution
Demonstrated communication and interpersonal skills
Proactive and confident in providing advice and solutions with attention to details
Education & Preferred Qualifications
University degree preferably in Accounting, Business Administration, Finance, Law or a related discipline
Minimum 10+ years' experience in the Compliance or regulatory functions with investment management firm, or financial services regulator (e.g. FSA, JITA, JIAA or SESC).
In-depth understanding of the Investment Management / Financial Business in the Japanese market including the Financial Instruments and Exchange Act
Good knowledge of industry best compliance / regulatory practice, together with relevant fund management, dealing and distribution practices and procedures
Capable of producing high quality and/or final work product and solutions under strict regulatory or management deadlines
Strong communication skills and able to communicate and present issues to senior management effectively.