Title: Internal Controls Manager
The right incumbent shall be responsible for ensuring that the business activities will comply with all relevant rules and regulations of the regulators as well as the company’s internal policies and procedures.
The job holder of this position will have responsibility as Compliance Officer in Compliance
Dept as well as Internal Controls Manager (ICM 内部管理責任者) of business departments.
The job holder will have a reporting line to the Compliane Head and the Internal Control Director (ICD 内部管理統括責任者) as the set up for internal controls per JSDA regulations (Currently one individual occupies those positions).
Being a developing organization, this job is not fragmented, allows substantial room for growth.
The jobholder may, based on delegation, interact with regulatory organizations and law firms.
The job duties may include:
· Monitor business activities with regards to compliance and risk management
· Client management (顧客管理) and attending to customer complaints (苦情対応)
· Handle matters relating to information management (情報管理), MNPI (法人関係情報)、Privacy Information Protection Act (個人情報保護法)、Conflict of Interest Management (利益相反管理).
· On boarding and AML related matters, including checking from standpoint of Criminal Proceeds Transfer Protection Act (犯罪収益移転防止法), Anti- Social Forces （反社会的勢力排除）
· Review of material to be sent to customers including language checks (広告審査)
· Take part in review of business results, create business plans, conduct financial analysis, etc.
· Regulatory reporting including contacts with FSA, JSDA and other related organizations, as well as reporting through use of systems.
· Participating in various global working groups
Skills and Abilities
· Substantial experience in the securities business preferably both front and middle/back office activities especially compliance.
· Positive attitude and approach toward tackling various regulatory and legal issues.
· The candidate would have to be native level in Japanese language, while proficient in English. Most compliance, regulatory matters require verbal and written Japanese skills.
· Willingness to work in a small team environment where cooperation is key. Teamwork mentality with solid interpersonal and communication skills, liaising with a variety of internal and external stakeholders.
· Never been taken any administrative action against by related authorities in the past.
· Bachelors degree or above, preferably an advanced degree, from top tier universities.
· Having passed the JSDA qualification exams as Securities Sales Representative (証券外務員) and the Internal Controls Manager (内部管理責任者).
The preceding job description has been designed to indicate the general nature and level of the work performed by employees within this classification. It is not designed to contain or be interpreted as the comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.