Japan Markets 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.