BU Compliance Cnslt,AVP BU Compliance Cnslt,AVP …

State Street
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Be the first to apply
Competitive
State Street
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Be the first to apply
Competitive
State Street
BU Compliance Cnslt,AVP
Key Responsibilities:
  • \t\tCommunicate developments in relation to compliance issues effecting the management and operations of SSGA - including Segregated Portfolios Exchange Traded Funds and Investment Trust Funds.
  • \t\tAdhere to contractual provisions and regulatory requirements regulators regulatory associations agreements (including Investment Management Agreements Confidentiality Agreements Service Provider Agreements) and the SSGA Code of Ethics.
  • \t\tDrive the development implement reviews and revisions of Corporate-wide and Compliance-related policies and procedures.
  • \t\tImplement and oversee robust monitoring processes and procedures for all appropriate SSGA compliance-related activities.
  • \t\tTimely provide monthly quarterly half yearly and annual client reporting.
  • \t\tPresent compliance updates and training programs on a regular basis.
  • \t\tEnsure all incident/breach investigations are thorough through to the preparation of recommendations.
  • \t\tReview all relevant Sales and Marketing Materials including client and prospect presentations conference presentations client letters fact sheets newsletters white papers press releases etc. in accordance with global standards and local regulations.
  • \t\tLead all compliance-related client visits.
  • \t\tHelp prepare regulatory filings on behalf of SSGA.
  • \t\tCoordinate and manage timely completion of all compliance-related corporation-wide reporting.
  • \t\tCollaborate with peers in the APAC region as well as global colleagues on various projects.
  • \t\tParticipate on projects with global Compliance colleagues to establish and implement global consistencies.

Qualifications
  • \t\tUniversity education and or more - Law major is preferred.
  • \t\t7+ years experience with Investment management firm is preferred
  • \t\t5+ years experience in Compliance function is preferred
  • \t\tExcellent oral and written communication skills both in English and Japanese bilingual is preferred
  • \t\tStrong project management time management analytical and problem-solving skills are required
  • \t\tA self-starter sense of urgency and strong interpersonal skills are required
  • \t\tAbility to manage multiple tasks simultaneously and deliver high quality work by deadlines
  • \t\tSound communication to senior management and other departments
  • \t\tStrong appreciation for a sound compliance environment
  • \t\tA deep understanding of the Investment Management / Financial Business in the Japanese market including the Financial Instruments and Exchange Act is a plus
  • \t\tPrior experience with the Financial Services Agency (FSA) - Securities and Exchange Surveillance Commission (SESC) Japan Investment Advisers Association (JIAA) Investment Trust Association Japan (JITA) and Japan Securities Dealers Association (JSDA) a plus
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