Role summary
The Senior Compliance Officer, Japan is responsible for managing and maintaining LCH’s compliance with the Japanese regulatory framework as it applies to central clearing services. The role involves communicating with and developing a relationship with the Japanese authorities (Japan FSA and Bank of Japan) and building sufficient understanding of LCH clearing services to engage credibly with regulators, internal stakeholders and senior management.
The Senior Compliance Officer, Japan is part of the Regulatory Advisory team, that acts as the primary channel for communication between our businesses and the regulators, handling applications in relation to new product initiatives as well as managing review and information requests arriving from the regulators. They are also the first point of contact when a business seeks advice about the interpretation of current or forthcoming regulations.
The Senior Compliance Officer, Japan, will report to the Senior Regulatory Advisor, APAC and provide support across the team with business initiatives, regulatory requests, managing trackers information management. The individual will also work closely with the APAC and global Legal team and local counsel based in Tokyo.
The role is based in the Tokyo office.
Compliance in LCH Ltd
The Compliance department is organised into two teams, the Regulatory Advisors and Core Compliance, under the Chief Compliance Officer who reports into the CEO of LCH Ltd. There is a functional reporting line into the Group Chief Compliance Officer.
Compliance is responsible for ensuring that the business can operate and develop within regulatory framework. The function manages LCH’s relationships with its regulators. This includes overseeing compliance with reporting requirements; managing new licence and product applications; and conducting periodic assurance reviews of compliance with regulations.
The vision is to keep the firm aligned with best practice in terms of regulatory compliance. To do this we recruit and retain motivated, talented staff; deepen our relationships with regulators in all relevant jurisdictions; maintain a robust monitoring function to give senior management assurance about compliance with regulations and continually reassess our processes to innovate and find better ways of doing things.
What you'll be doing:
- Managing and maintaining compliance with Japanese regulatory requirements applicable to central clearing services. This includes communicating with the Japan FSA and Bank of Japan, coordination with the rest of the Compliance team and other departments to provide necessary reporting, notifications and other requested information, and translating between English and Japanese
Regular compliance monitoring of business operations, identification and resolution of issues and other relevant services. This may involve drafting and managing internal rules and other manuals related to compliance
Planning and implementing periodic compliance training and providing information on compliance
Support Head of Japan, Post Trade and Tokyo staff in relation to compliance and regulatory matters
Assist with the core activities of coordinating of regulatory assessments and submissions and obtaining approvals for business initiatives
Assist with the ongoing provision of Compliance advice and guidance to the business, including reviewing and analysing current and proposed Japanese regulations and consultations
Draft minutes from regulatory meetings, maintain and monitor management trackers and internal reports
Participate in the production of internal reports and the monitoring of regulatory developments
Build relationships with the business and internal stakeholders including in Singapore, Sydney and London
What you'll bring:
- Strong written and verbal communication skills in both English and Japanese and attention to detail
Sound organisational and time management skills
Ability to work effectively with colleagues and clients effectively at all levels
Self driven and proactive, with strong ability to take initiative and work independently
Experience in a compliance, legal, audit, or post trade operational environment would be desirable
An understanding of, or familiarity with the Financial Instruments and Exchange Act and/or the regulatory issues impacting market infrastructure would be desirable
Career Stage:
Senior AssociateLondon Stock Exchange Group (LSEG) Information:
Join us and be part of a team that values innovation, quality, and continuous improvement. If you're ready to take your career to the next level and make a significant impact, we'd love to hear from you.
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