BofA証券：Vice President, Senior Country Compliance and Operational Risk Manager
仕事内容
The Country Compliance Manager is responsible for ensuring the identification, escalation, and timely mitigation of compliance risks in the country. The Country Compliance Manager ensures that any inquiries and exams by regulators in the country are appropriately managed by the relevant Compliance Officers. The Country Compliance Manager escalates any key issues to the appropriate level of management. Responsibilities for this role also include ensuring consistent quality of activities, processes, and outputs by establishing effective review practices across teams. The Country Compliance Manager may be responsible for providing leadership direction, attracting, assessing, developing, motivating and retaining a successful team or serve as an individual contributor. This role may have Money Laundering Reporting Officer responsibilities.
応募資格(必須経験など)
Managerial Responsibilities:
Contribute to an inclusive, collaborative working environment
Support process improvement, documentation quality, operational discipline, and sound risk management culture
Assist with prioritization and coordination of team deliverables to ensure effective outcomes within the Compliance function
Skills:
Practical experience in Fixed Income Compliance, including market conduct, surveillance, conflicts management and information barrier controls
Strong understanding of Japan’s regulatory framework and experience interacting with authorities such as JFSA, BOJ, JSDA and JPX
Ability to interpret laws and regulations, manage issues, communicate clearly in English and Japanese, and influence stakeholders
Strong analytical, relationship-building and process management capabilities