Compliance JP

Job description

Description de l’entreprise

Natixis Corporate & Investment Banking est une institution financière mondiale de premier plan qui fournit des services de conseil, de banque d'investissement, de financement, de banque d'entreprise et de marchés de capitaux aux entreprises, institutions financières, sponsors financiers et organisations souveraines et supranationales du monde entier. Nos équipes d'experts dans plus de 30 pays conseillent nos clients sur leur développement stratégique, les aident à développer et à transformer leurs activités, et à maximiser leur impact positif.

Natixis CIB Asia Pacific propose aux entreprises et aux institutions financières régionales des solutions de financement et de marchés de capitaux sur mesure ainsi qu'un accès aux marchés financiers mondiaux, tout en accompagnant le développement des clients européens et internationaux de Natixis CIB en Asie-Pacifique.

Poste et missions

Summary of the Position 

This Compliance Officer position is double hatted to Natixis Japan Securities Co., Ltd. (“NJS”) and Natixis Tokyo Branch (“NTB”) and expected to take responsibilities including (1) business advisory and central compliance tasks such as regulatory filing, providing Compliance training and advice on the business activities of NJS and NTB, and supporting regulatory inspection preparation, (2) Trade surveillance, (3) providing advice on AML/CFT under the Japanese laws/regulations as well as other administrative tasks relating to Compliance operation at NJS and NTB.

Since this position is double hatted and covers both NJS and NTB activities, the coverage of responsibility is not limited to above and Good team worker mind-set and attitude is required. 

 

Main Responsibilities

Business Advisory / Central compliance

·  Provide day-to-day advice (including AML/CFT) and assistance on general compliance matters for executive officers and/or employees to foster a culture of compliance that is embedded throughout NJS/NTB
·  Conduct Compliance Training and record keeping
·  Monitoring the regulatory authorities website to keep abreast of regulatory changes impacting business operations in Japan and make necessary update of internal rules and provide training where required
·  Make regulatory filing with the financial authorities including self-regulatory authorities 
·  Deal with various group-wide projects such as outsourcing remediation, regulatory reporting tool development, data privacy, etc. in collaboration with APAC Compliance teams
·  Provide support for regulatory inspection preparation and remedial action for findings
·  Coordinate regulatory examinations and ensure timely and accurate responses to inquiries.

Trade Surveillance

·  Manage and conduct on a day-to-day trade surveillance mainly regarding cash equities transactions based on the local trade surveillance programme, including all processes, policies and procedures required by the applicable local laws, regulations and rules as well as the NAS group surveillance criteria 
·  Escalate potential issues and exceptions noted during the review process for discussion and further investigation if deemed necessary
·  Interpret, assess and implement new rules and regulations relating to market surveillance in coordination with regional APAC Compliance teams
·  In coordination with Compliance Advisory team, lead the development of the annual compliance risks assessment which will drive the annual control plan. 
·  Support an effective compliance monitoring and reporting framework as part of the overall NJS Compliance and Control Plan, including any related processes and procedures to ensure employees’ compliance with local laws and regulations (required under the FIEA, MLBA, JSDA and JPX Rules etc). Take corrective action where required 
·  Primary contact with Japanese regulators (such as SESC, Local Finance Bureau, JSDA and JPX) on inquiries relating their investigation and develop and maintain cooperative and supportive working relationships with them
·  Support and advice the business teams and other operational teams on regulatory and transactional issues and queries as and if necessary, in coordination with advisory compliance; serve for questions and issues related to regulations, reputation risk, and other compliance-related areas

Administrative matters 

·  It is expected to carry out and to be engaged in administrative tasks relating to compliance operations and regulatory/transactional issues and queries.

 

Required Skills

·  Knowledge and experience at the global financial institution(s) either on compliance control or trade surveillance is a must
·  Trade surveillance experiences in a global securities firm in Japan is preffered. In this case, proven experience directing and leading the implementation of market abuse surveillance system to comply with both global and local requirements including the applicable JPX and JSDA Rules 
·  Knowledge and experience in a global securities firm to perform compliance testing or operational risk management, etc, or otherwise strong appetite and willingness to learn and lead those control tasks with having close communication and discussion with relevant people in APAC and Global
·  Excellent oral and written communication skills in Japanese and English
·  Good Team Worker Mind-Set and Attitude 
·  Ability to work effectively and proactively in a team environment 
·  Demonstrate capability of managing and prioritizing several activities simultaneously
·  Legal background is definitely a big plus
·  Strong grasp of code of conduct, ethics policies and current compliance practices and industry standards
·  Strong interpersonal skills with ability to interface with cross -functional teams, management and front-line associates
·  Self-motivated with high energy and personal integrity- Ability to operate with due discretion, confidentiality, objectivity and independence
·  Strong analytical, process management and implementation skills, sensitivity to issues, strong facilitation and problem-solving skills
·  Attributes/Behaviors - Strong business acumen, ability to detect emerging compliance and industry trends and develop appropriate responses
·  Proficient in the use of Microsoft Outlook, Excel, Word, and PowerPoint
·  Native level of Japanese and fluency in English