Compliance Officer - Vice President

Societe Generale

Company Type
Workhours
Responsibilities

Job Type

Permanent contract

Organization

CPLE/ASI/JPN

Primary Location

Japan-Tokyo

Job Posting

Sep 27, 2021

Responsibilities

Primary Objectives:

1. Perform Central Compliance related tasks and missions, including but not limited to Permanent Supervision (self-Assessment), 2nd line of control, risk assessment, staff registration and regulatory filing.

2. Correspond to the requirement, inquiry and inspection from regulators and SROs

3. Maintain Policies and relevant rules including local and global.

4. Provide training session to internal staff

5. Support other non-front team/depts. from Compliance's perspectives.

6. Projects support, which are related to the Compliance perimeters

Major Accountability/Principal Responsibilities:

Duties

1. Perform and coordinate periodic compliance self-assessment in cooperation with Advisory Compliance (for business related 2nd line controls) and other compliance stakeholders (for non-business-related 2nd line controls)

2. Conduct appropriate control of Rules and Procedures

3. Support for FSA and other regulatory/association's Inspection

4. Preparation of regulatory reports and change of corporate registration

5. Communications as "Reg Watch", which are related to the Regulatory matters, to 4 SG's entities in a timely and proper manner.

Profile

Key Skill Areas & knowledge Required:

  • Min. 5 years of Compliance or internal control functions background
  • Strong knowledge of the financial service’s regulatory environment in Japan
  • Ability to assess regulatory / compliance matters
  • Working knowledge of CIB business processes and operations
  • Strong verbal & written communication
  • Self-motivated, committed and result oriented
  • Strong Excel and Power-point skills

Societe Generale is one of the leading financial services groups in Europe. Present in over 50 countries across Europe, the Americas and Asia. Societe Generale provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.

Today, Societe Generale in Japan consists of four core businesses: Societe Generale, Tokyo Branch; Societe Generale Securities Japan Limited, Lyxor Asset Management Japan and Societe Generale Aircraft Leasing Company Limited. These four entities are in line with our worldwide focus on Investment Banking, Global Finance and Global Markets, and Asset Management

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Confirmed 14 minutes ago. Posted 30+ days ago.

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