【ドイツ証券株式会社】Compliance - Senior Central Compliance Lead - VP
仕事内容
Your key responsibilities:
Work Closely with business and infrastructure functions, including offshore colleagues
Build and manage strong relationships with regulators such as JFSA,BOJ,KFB,JSDA and JPX
Lead and train Central Compliance staffs who engage in daily activities like regulatory filing, licensing and registration, position monitoring, employee compliance and policy management.
Keep abreast of industry developments and emerging trends, the introduction of new products/services, as well as their implications from a regulatory / reputational perspectives (in coordination with Business Line Compliance)
Keep framework for tracking of all major / significant regulatory communication
Lead or participate in ad hoc Compliance projects, inspection managements, investigations, disciplinary actions or as assigned from time to time
応募資格(必須経験など)
Your skills and experience:
Depth Knowledge on financial products and relevant regulation
Ample experience in dealing with regulators, especially JFSA, preferably within a global universal bank
JSDA Sales Representative and Internal Control Manager qualification
Strong Compliance risk management experience, with good knowledge of local regulations/laws
Communication skills - both verbal / writing and Japanese / English – with colleagues of DB Group including APAC and Global team and regulators such as JFSA, JSDA and JPX.
Good relationship with the local regulators
Preferred - Experience working for a global universal bank in a senior compliance position with leadership capabilities, and able to manage a team, influence and facilitate decision making process
Skills of Microsoft Office(EXCEL, WORD etc.)