Japan Markets Compliance

Job description

We're seeking a Compliance, Conduct and Operational Risk (CCOR) professional who will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. This position requires knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices. As a Japan Markets Compliance professional within the Markets business, you will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions.

Job Responsibilities

Provide Compliance coverage for several areas, in addition to serving as the team’s subject matter expert for specific regulations in executing the following Core Practices: Governance and Oversight, Regulatory Management, Policies and Procedures, Training and Awareness, Monitoring and Testing, Issue Management, Risk Assessment and Reporting, and Risk Control Self-Assessment. Perform analysis to identify major issues and actionable opportunities, designing potential solutions, and quantifying compliance conduct and operational risk for the Markets business.

Develop and execute management, stakeholder, and regulator communications in order to communicate issues, recommendations, and status of initiatives. Identify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actions. Conduct ongoing compliance monitoring activities and participate in special projects as required. Challenge the status quo by providing critical and analytical thinking and strong decision making capabilities to identify problems, propose creative solutions, and escalate as necessary.

Develop project plans and document and analyze business systems/processes. Required qualifications, capabilities and skills Possess strong written and oral executive-level communications skills. Detail-oriented; possess a high-level of attention to detail and quality for their work product. Excellent analytical skills. Demonstrate the ability to partner with stakeholders on projects. Ability to work both independently and as a core team member.

Performs analysis to identify major issues and actionable opportunities, designing potential solutions, and quantifying compliance conduct and operational risk for the Markets business.

• Conduct ongoing compliance monitoring activities and participate in special projects as required Challenge the status quo by providing critical and analytical thinking and strong decision making capabilities to identify problems, propose creative solutions, and escalate as necessary
• Develop project plans and document and analyze business systems/processes Preferred qualifications, capabilities, and skills
• Bachelor's degree with relevant licenses and certifications preferred.