Compliance –VP – Bank Compliance - Japan
JPMorgan Chase & Co.
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JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.
The successful candidate will work as part of a Japan Compliance team, supporting the Global Corporate Bank (“GCB”) business and Commercial Bank (“CB”) business in all aspects of regulatory compliance in Japan location through multiple legal entities.
The GCB and CB business have various product coverage such as loan, OTC derivative transactions (rates, credit, equities commodities, and FX), and treasury service.
The Compliance Officer works in partnership with specialists in Japan Compliance teams, GCB and CB Compliance team in the region, Legal teams and other Risk functions in Japan, Asia and from other regions.
- Providing advice to the GCB and CB business (at all levels) on regulatory issues, including updates, and assist in assessing the impact of any new regulations across the legal entities in Japan where the GCB and CB business resides, working closely with Treasury Service compliance officers, AML compliance officers, control room and other relevant compliance officers.
- Identify and assist in resolving compliance control gaps and make recommendations for enhancements where necessary.
- Contributing to the engagement with local regulators and law enforcement agencies concerning the conduct of business in Japan or involving Japan aspect.
- Conducting training and communication activities to ensure that employees are familiar with all relevant laws, regulations, policies and procedures
- Supporting the business with client related activities where appropriate - client seminars and training
- Leading and contributing to the implementation of policies and procedures both lines of business specific or location/legal entity wide.
- Advising management in the development of procedures and policies
- Participate in special projects as needed to support the Compliance agenda
- Leading and contributing to the location wide initiative for regulatory inspection, supervision/monitoring, and represent the GCB and CB lines of business
• Internal Control Manager (JSDA & FFAJ)
- Bachelors Degree and preferably additional professional or post graduated qualifications
- A minimum of 7 - 10 years relevant experience in a Financial Services.
- A broad knowledge base of the Japanese Financial Instrument Exchange Law (FIEL), the Japanese Banking Law and other regulations related to Fixed Income legal entities in Japan
- Demonstrated analytical and quantitative skills, including effective data analysis, investigative problem solving skills and ability to make sound decisions about compliance risks and recommend appropriate corrective action.
- Organized and able to execute responsibilities with minimal supervision; ability to prioritize multiple tasks and bring tasks to completion within established timeframes.
- Demonstrated ability to deliver accurate and high quality work product. Clear and concise verbal and written communication.
- Proven ability to communicate in difficult/sensitive situations and create consensus
- Demonstrated ability to manage the objective in the environment of regional/global organization and to represent Japan in that environment.
- Knowledge and experience regarding Japanese Fire Wall regulation would be big advantageous.
- Specific knowledge about Fixed Income and Banking Business related product would be also advantageous.
- Regulatory, Legal or Audit environment with preferably experience in working with regional Compliance partners
- Strong speaking and writing abilities in both Japanese and English.
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