外資系大手生命保険のChief Compliance Officer (CCO)の求人

The Role: This position will serve as the Head of Compliance and CCO for our group 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. We are 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 our company 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 our company Board meetings and shareholder meetings.
Review of marketing materials, pitch books and assist in client on boarding.
Knowledge of local our company 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: our company personnel; partners in Legal, Audit, and Investments Operations