Global boutique financial services organization growing rapidly in Asia seeks Compliance Officer to join their Japan business.
- Establish and maintain internal control procedures to protect the Firm against involvement in money laundering and terrorist financing. Conduct new client onboarding AML/KYC reviews in accordance with AMLO requirements and Group Directives.
- Write / amend / update internal policies and procedures and provide advice regarding compliance implications arising from strategic and regulatory directives
- Participate in ad-hoc project work as determined by the Head of Compliance and Local Business Head and prepare periodic compliance reporting to regional and Head Office
- Ongoing monitoring and reviews include:
o KYC and AML review on pre-existing clients
o Account Documentation update
o Transaction monitoring and STR reporting
o Periodic Review / Client Annual Review Process
o Regulatory and Industry Watch
o Market Abuse and Insider Dealing surveillance
- Perform general compliance initiatives including:
o Regulatory filings with the KLFB.
o Conduct and maintain register of compliance induction and CPT training
Liaise with local regulator, internal auditor and external auditor and respond to their queries
- 8 to 10 years of experience in a similar position
- Knowledge of Trust Business Act and FIEA and the experience of trust banks, trust company, investment management company is appreciated.
- Experience of delivering the comprehensive explanation and discussion on compliance matters in English
- Excellent communication skills with different stakeholders, team player and details oriented
- Native Japanese and fluent in English, any other language an asset