Chief Compliance Officer (CCO)

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東京都千代田区

Department: The Compliance Risk Management (“CRM”) manages the firm’s compliance risks to prevent violations of law, rule, or regulation, and designs and delivers a compliance risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. CRM is a risk-based department, focused on emerging risks, and providing constructive challenge to the business and functions, partnering closely with them to implement strong processes and effective controls, as well as to better foster and embed a culture of compliance. CRM monitors trends and changes in regulations and develops and implements firmwide and divisional policies and procedures.

The Role: This position will serve as the Head of Compliance and CCO for Investment Management company in Japan, which is registered with the Financial Services Agency (FSA) for Type II Financial Instruments, Investment Advisory, and Agency and Investment Management business. The Japan business covers Fixed-Income and Private Credit. This role is responsible for implementing and overseeing the FSA compliance program in Japan, interacting directly with the FSA regarding licensing and business activities, and providing ongoing compliance advice, counsel and oversight to the regulated entity and its personnel. This role will need to offer credible challenge, escalation of issues and reporting, as appropriate, and working closely with the Investments teams to implement controls and guidelines while ensuring compliance with global and regional policies, procedures and standards, law, rule and regulation. This role entails working closely and collaborating with Investments leadership, legal, other compliance teams while focusing on strategic initiatives and emerging issues.

This role would be expected to stay abreast of all applicable laws, rules and regulations ensuring they are then incorporated with advice offered to the Investments teams. This role will partner with the first line to develop appropriate risk mitigation strategies and controls, conducting monitoring and testing to ensure that all local investment activities and the employees responsible for investing on behalf of the company comply with regulatory requirements and company standards. This role will work collaboratively with Investments professional and senior managers across the global and with other Investments Department risk control organizations, including Risk Management, Legal, and Internal Audit. This role is a critical position to ensure that FSA requirements have been effectively implemented across the Company Japan entity and ensure that the appropriate governance and control environment is developed to become compliant with any future regulatory developments.

Being a pro-active Compliance officer and anticipating where issues may arise is critical, and the ability to get ahead of regulatory expectations is key to success in the role. The individual will be required to make sound judgment-based decisions and answer complicated compliance risk-related questions, put appropriate controls in place to mitigate risks, and exercise judgment to know when issues need to be further escalated to senior management for consideration and deliberation.

Key Responsibilities:
• Manage advisory compliance and associated control environments and strike the balance between serving as trusted advisor to the business and encouraging a culture of robust challenge to the business.
• Review existing compliance policies and procedures and make enhancements to strengthen processes, procedures and policies and stay head of regulatory requirements and expectations under FSA regulations.
• Issue spot, analyze, and dimension the complexity of risks and regulations; handling complex issues and engaging directly with regulators.
• Interface with senior management to ensure effective awareness of key compliance risk areas and develop and implement mandatory and targeted training on relevant compliance regulations and processes.
• Develop, execute and maintain a monitoring and testing plan to ensure that controls are operating as intended and prepare regular reporting on compliance activities.
• Conduct and administer the Japan Board meetings and shareholder meetings.
• Review of marketing materials, pitch books and assist in client on boarding.
• Knowledge of local AML rules and regulations.
• Prepare and file required documentation for the FSA or other relevant external authorities on a routine and ad-hoc basis.
• Oversee day-to-day administration of several key controls including portfolio guideline monitoring, restricted issuer list, gifts and entertainment reporting, personal trading, authorized trader lists, OFAC and local sanctions programs, regulatory reporting, marketing material review, and ethical walls.
• Stay abreast of changes in the regulatory environment and analyze the business impact of regulatory changes.
• Work collaboratively with business partners and senior leaders including those in IT, Legal Affairs, Corporate Licensing, and Internal Audit.
• Advise on and provide credible challenge to compliance with relevant laws, regulations, and compliance policies.
• Provide meaningful compliance reporting to senior management

Key Relationships:
• Reports to: Head of International Investments Compliance with a matrix reporting to the Global Investments CCO
• Direct reports/team: one
• Key Stakeholders: The Company Japan personnel; partners in Legal, Audit, and Investments Operations

年収 1,500万円 〜 2,400万円

正社員

Essential Business Experience and Technical Skills:
• 15+ years relevant and suitable Compliance experience gain with an FSA registered investment management firm
• Extensive knowledge of rules and regulations applicable to Japan’s investment activities in Japan
• Demonstrated ability to assess risk and communicate results to board level senior management.
• Demonstrated ability to analyze risks and controls, determining when controls are not operating effectively and act accordingly.
• Excellent oral communication skills, including ability to communicate with all levels of management.
• Demonstrated ability to translate and communicate requirements in ley persons terms, enabling business partners to better understand requirements, working together toward implementation of solutions.
• Dedicated, self-motivated with an ability to work independently as well as being a team player

上級（ビジネス交渉）