Markets Compliance Officer, Assistant Vice President (AVP)

Markets Compliance Officer, Assistant Vice President (AVP)

Position Overview:

Develops and implements the compliance program for State Street Trust and Banking Co., Ltd. and State Street Bank and Trust Company Tokyo Branch. Enhance risk management for the business in State Street Markets Japan.

Ideal candidate will keep abreast of applicable external regulatory environment impacting the business, leads and/or participates in initiatives to strengthen compliance with key external regulations, adherence to corporate policies and control environment, and participate with management in significant compliance and/or risk management projects.

Why this role is important to us:

The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day-to-day deliverables at our best. 

Join us if making your mark in the financial services industry from day one is a challenge you are up for.

Responsibilities include:

• Meet requirements on the occasion of regulatory inspections as an overall coordinator.

• Ensure effective identification, measurement, control and management of compliance risk (both local and global) across SSGM Japan.

• Provide regulatory analysis and compliance related advice/guidance to business and infrastructure functions.

• Ensure that the compliance program of SSGM Japan unit satisfies applicable legal, regulatory and internal requirements.

• Responsible for the development, implementation, review and revision of compliance risk management programs, policies, procedures and systems for SSGM Japan.

• Monitor applicable regulatory changes and provide effective change management within SSGM Japan to address such changes and keeps abreast of new products, technologies and applications as well as their implications for assigned area. 

• Independently manage compliance risk management projects.

• Be fully knowledgeable of assigned product/functional area.

• Act as a liaison with regulatory agencies, internal and external advisors and other internal control groups on compliance/risk- related issues in area of responsibility.

• Collaborate and support Investment Services Compliance matters.

• Conducts other administrative/day to day duties.

Qualifications include:

• Have sufficient experience (+5 years) with securities/banking regulatory inspections.

• Have skills and experience of regulatory registration especially licensing.

• Have strong Japan securities and/or banking regulatory environment experience (+5 years) gained in compliance, risk management and/or internal control in a financial services environment.

• Good working knowledge of the conduct of business rules and local regulatory requirements that relate to securities firms/banks.

• Proven interpersonal, communication, project management skills.

• Demonstrated problem solving, decision-making and negotiation skills.

• Proven team player.

• Strong communications skills; ability to influence; ability to build consensus.

• Ability to develop and maintain business relationships within the business unit and across the corporation. 

• Holder of JDSA Internal Control Manager qualification (preferred).

About State Street

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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