JPMorgan Head Compliance Workplace Solutions 

Japan 

600585671

As the Head of Compliance, Workplace Solutions, Japan within the Compliance, Conduct and Operational Risk (CCOR) organization, you will play a crucial role in ensuring that our business activities meet Japanese regulatory requirements. You will lead the development of a compliance risk management function, provide guidance and training, and cultivate a culture of accountability and high corporate standards across the firm, reflecting the values of Japanese corporate governance.

Job Responsibilities:

• Coordinate regulatory engagements, including license applications and regulatory exams with the Japan Financial Services Agency (JFSA).
• Analyze regulatory developments in Japan and consolidate feedback from business teams.
• Build and enhance compliance risk management setups tailored to the Japanese market.
• Provide second line of defense oversight and challenge business processes and controls.
• Facilitate compliance training preparation and delivery, incorporating local regulatory requirements.
• Support global team coverage in areas such as sales, distribution, and employee compliance.
• Oversee anti-money laundering programs and data protection frameworks, ensuring compliance with Japanese regulations.
• Support surveillance programs in trade, communications, and employee compliance, adhering to local standards.
• Review and monitor regulatory reporting and records maintenance frameworks, ensuring compliance with Japanese regulations.
• Periodically review policies to ensure adherence to local Japanese regulations.
• Report to local governance and provide management information to global forums.

Required Qualifications, Capabilities, and Skills:

• Bachelor’s degree in Law, Business, Finance, or related fields.
• Minimum of 10 years of experience in Compliance, Operational Risk, Regulatory Affairs, Legal, Audit, or Business Control Functions within Financial Institutions.
• Proven knowledge of Japanese anti-money laundering laws.
• Extensive knowledge of Japanese financial regulation and Self-Regulatory Organization rules.
• Effective communication skills with a detail-oriented, organized working manner.
• Superior problem-solving and analytical skills, with the ability to work independently.
• Ability to partner with the business and challenge the status quo.

Preferred Qualifications, Capabilities, and Skills:

• Experience as a compliance officer for an intermediary business license holder or Type 1 or Type 2 business license holder in Japan.
• Holder of JSDA’s Internal Administration qualification and JSDA’s Type 1 Certified Securities Broker Representative.
• Experience in dealing with regulatory exams conducted by Japanese authorities.