Assistant Vice President, Compliance Monitoring

About the role

The Assistant Vice President, Compliance Monitoring will help ensure business operations align with internal standards and external regulatory requirements, supporting a culture of ethical conduct.

Key responsibilities

• Assist the Core Compliance Team Leader and Chief Compliance Officer by conducting periodic reviews to ensure business conduct, procedures, and processes adhere to the Bank’s Compliance Standard Manual and relevant external laws.
• Carry out detailed investigations and analysis related to Market Conduct Monitoring, including communication and trade surveillance activities.
• Handle customer complaints and feedback, investigating incidents related to fraud or compliance breaches.
• Draft, maintain, review, and update compliance policies and procedures to align with global, regional, and regulatory standards.
• Provide advisory services to departments on compliance matters and monitor potential conflicts of interest.

Required profile

• Degree in Finance, Accounting, Business Administration, Economics, Law or equivalent.
• 6 to 8 years of experience in banking compliance or a similar regulatory environment.
• Strong interpersonal and stakeholder management abilities.
• Excellent written and oral communication skills.
• Proficiency in Japanese is preferred.

Required skills

• Knowledge of banking regulations and compliance standards.
• Experience with market conduct monitoring, communication surveillance, and trade surveillance.
• Ability to draft and update compliance policies and procedures.