ビジネスオーバーサイトコンプライアンス/ Business Oversight Compliance

A renowned securities firm is looking for a Business Oversight Compliance professional. The selected candidate will oversee compliance risks, investigate potential misconduct, and partner closely with business and control functions to ensure regulatory alignment. This is a long-term haken role and a hybrid role.

Responsibilities:

• Identify and assess compliance risks through reviews of business activities, processes, systems, and changes
• Investigate potential market abuse including insider dealing, unlawful disclosure, market manipulation, and anti-competitive conduct
• Conduct investigations into compliance breaches and oversee corrective and preventive actions
• Implement and maintain compliance policies aligned with regulatory requirements and international standards
• Collaborate with first line of defense, compliance, legal, and risk teams to support integrated risk management
• Monitor and oversee potential money laundering, terrorist financing, and other financial crime risks

Requirements:

• Experience operating within a global, complex organisation
• Prior experience in designing and maintaining internal controls
• Knowledge of compliance principles and financial markets
• Understanding of financial regulations, market conduct, and risk management
• Business level English and Japanese

Nice to have:

• Experience in team and people management
• Excellent project management skills

About the Company:

This organisation is a subsidiary of one of the largest investment banks in the world. They have found success in offering security brokerage and dealing services to several companies.

Keywords:

法律,法務,コンプライアンス, 法律, 求人, 外資系

Job Ref: O9YAO7