【バンク・オブ・アメリカ】Assistant Vice President/ Vice President, Compliance & Operational Risk Manager
仕事内容
What you will do
Takes an active leadership role in maintaining and communicating regulatory changes, advising and directing business partners to ensure that regulatory requirements are addressed in their respective process and controls so that their day-to-day activities operate in a compliant manner.
Proactively engages other C&OR officers, Enterprise Areas of Coverage (“EAC”) roles, and horizontal function roles to provide comprehensive oversight of FLU and CF activities.
Identify, collect, validate and record internal loss events and “near misses.” Perform root cause analyses on internal loss events and develop remediation plans to strengthen controls.
Identify, review and document relevant external loss events.
Conduct compliance and operational risk assessments of FLU and CF, incorporating review of external loss events to assess control effectiveness.
Leads the efforts and/or contributes to monitoring and testing coverage plans and related metrics for FLU or CF.
Monitor and test the effectiveness of the FLU and CF compliance and operational risk controls.
Identify aggregate, report and escalate compliance and operational risks, issues and control enhancements.
Executes and/or provides oversight of governance and management routines.
Identify compliance and operational risk training needs, provide subject matter expertise to support development of training curriculum, and inspect FLU/CF.
Provides consultation to business partners in preparations for regulatory exams and audits for FLU/CF and related Enterprise Areas of Coverage.
Escalate regulatory relations concerns to Compliance and Operational Risk Executive.
応募資格(必須経験など)
Your background
Knowledge and experience at the global financial institution(s) on compliance or other control functions with strong appetite and willingness to learn and lead those control tasks
Knowledge and experience in a compliance function or investment banking business preferred.
Ability to multi-task and independently drive responses to regulatory/exchange compliance issues/queries.
Solid awareness of controls and governance.
Self-motivated, a team player and results orientated.
Ability to work in partnership with business, shared services and other members in Legal and Compliance in the region.
Excellent communication skills both in oral and written Japanese and English.
Language: (Japanese) Native/Bilingual, (English) Professional/Business level
Technical Skills: Professional in the use of Microsoft Outlook, Excel, Word and Powerpoint