Responsibilities
- Lead regulatory compliance efforts tied to licensing and authorization processes in support of organizational growth.
- Serve as a primary liaison during interactions with regulators, including submissions, business plan revisions, and inquiries.
- Maintain compliance with regulatory and integrity risk reporting requirements in Japan and respond to regulatory inquiries as needed.
- Guide internal teams on adapting to evolving regulations, focusing on mitigating compliance risks across operating jurisdictions.
- Create and implement policies and procedures to address regulatory risk within frontline business operations.
- Oversee regulatory compliance risks within the enterprise risk framework, including escalation protocols and committee reporting.
- Provide guidance on ethical conduct and compliance matters related to financial services authorizations.
- Execute compliance monitoring activities through targeted and thematic audits to assess organizational readiness.
- Deliver and maintain a comprehensive compliance training curriculum for employees, including specialized sessions for specific teams.
- Lead proactive initiatives to resolve operational challenges and accelerate progress toward strategic objectives.
Language requirements
Business-level proficiency in Japanese and English
