Markets Compliance Officer, Assistant Vice President (avp)
State Street UK
Tokyo, Japan
Securities and banking regulatory inspections
Regulatory registration and licensing
Japan securities and banking regulations
Develops and implements the compliance program for State Street Trust and Banking Co., Ltd. and State Street Bank and Trust Company Tokyo Branch, enhancing risk management for State Street Markets Japan
Job Summary
Develops and implements the compliance program for State Street Trust and Banking Co., Ltd. and State Street Bank and Trust Company Tokyo Branch, enhancing risk management for State Street Markets Japan.
Monitors applicable regulatory changes, provides effective change management, and keeps abreast of new products, technologies, and applications for the assigned area.
Acts as a liaison with regulatory agencies, internal/external advisors, and other internal control groups on compliance/risk-related issues.
Matching Summary
Develops and implements the compliance program for State Street Trust and Banking Co., Ltd. and State Street Bank and Trust Company Tokyo Branch, enhancing risk management for State Street Markets Japan.
Skills & Requirements
Must-have
Securities and banking regulatory inspections
Regulatory registration and licensing
Japan securities and banking regulations
Compliance risk management
Regulatory analysis and advice
Nice-to-have
Interpersonal and communication skills
Problem solving and decision making
Team player and consensus building
Business relationship development
Key Requirements
+5 years securities/banking regulatory inspections
Skills and experience of regulatory registration
+5 years Japan securities/banking regulatory environment
Good working knowledge of conduct of business rules
JDSA Internal Control Manager qualification (preferred)