AVP, Securities and Global Markets Oversight (Compliance Department)

Job Responsibilities

• Working closely with the bank’s and securities company’s compliance and AML teams, integration of bank and securities compliance and AML policies and procedures to ensure consistency.
• Oversight of group securities company compliance from the perspective of the ultimate parent company.
• Advising on group policies and procedures, and coordinating with relevant departments to ensure compliance with Japanese laws, including in the development of products and services and joint marketing activities.
• Monitoring and testing to ensure compliance with compliance and AML requirements by employees who are in dual-hatting capacity or acting in collaboration across entities.
• Collaborate with relevant departments of the bank’s Head Office and parent company.

Job Requirements

• Sound knowledge and experience in AML and compliance regulations related to securities and capital and global mark...