London | ～£65K/Year | Ref. VAC14033
Job descriptions:
- Provide a pro-active and re-active day-to-day advisory service in relation to compliance and regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact the company and related affiliate entities.
- Liaise closely with the business and the other control functions covering the business to identify and manage the compliance and regulatory risks associated with specific activities and the business as a whole.
- Ensure that compliance and regulatory policies and procedures are documented, implemented, and communicated.
- Develop and deliver induction and ongoing training when required on compliance regulatory requirements, policies and best practice issues.
- Assess new products, services and systems considering new and existing policies and procedures, before, during and after their development and implementation.
- Liaise with internal departments to manage regulatory reporting in the company and related affiliate entities and file required compliance reports with regulatory agencies.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Liaise with internal or external auditors on compliance and regulatory matters
- Identify compliance issues that require follow-up or investigation and support the conduct of internal investigation of compliance issues.
- Monitor compliance systems to ensure their effectiveness, maintain documentation of compliance activities and submit reports regarding compliance operations and progress as required.
- Stay abreast with industry changes, trends, and best practices and assess the potential impact of these changes on the business.
- Provide guidance on the design and implementation compliance standards.
- Build and strengthen relationships with key stakeholders in Europe and Tokyo Headquarters (THQ)
- Perform other related tasks as assigned by management and to meet business needs
- Comply with the company’s policies and procedures
Requirements:
- Knowledge of the principles, procedures, and techniques of compliance and regulatory reporting
- Ability to develop user friendly internal policies and procedures based on the relevant laws and regulations
- An understanding of the legal and compliance issues of complex financial services organisations, legal entity structures, organisations and regulatory reporting requirements
- Good experience of Financial Services and related Anti-Money Laundering (AML) risks.
- Good knowledge and understanding of the industry and the regulatory environment
- Demonstrable analytical and data interpretation skills
- Good presentation skills, articulate, able to communicate quickly and clearly at all levels
- Resourceful in resolving issues and solving problems, leveraging resources to get results.
- Supports, manages and initiates change within the organisation, taking steps to remove barriers or to accelerate its pace.
- Actively pursues learning and self-development to enhance personal, professional and business growth; shares learning.
- Strong interpersonal skills with the ability to negotiate and influence others at all levels, including senior management.
- Effective decision-making skills; can choose a prompt course of action amongst options involving uncertainty or risk.
- Minimum 8 years’ experience in compliance or regulatory reporting required
- Bachelor’s degree or equivalent
- Business level proficiency in Japanese (verbal, written and reading)
Conditions
- Salary: £65.000 per annum, negotiable depending on experience
- Location: Central London
- Other benefits are available
