Vista previa de la oferta
Japan Markets Compliance
Risk & Compliance
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.
- 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
Preferred qualifications, capabilities, and skills
- Bachelor's degree with relevant licenses and certifications preferred.