Compliance Officer, Assistant Vice President

Who we are looking for

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 SSGM Japan.

Ideal candidate will keep abreast of applicable external regulatory environment impacting 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.

What you will be responsible for

As Compliance Officer, you will

• 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.

What we value

These skills will help you succeed in this role

• Have sufficient experience (+5 years) with securities/banking regulatory inspections.
• Have skills and experience of regulatory registration especially licensing.
• Have extensive 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.
• Team player.
• Ability to influence.
• Ability to build consensus.
• Ability to develop and maintain business relationships within the business unit and across the corporation.

Education & Preferred Qualifications

• Holder of JDSA Internal Control Manager qualification.

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we’re making our mark on the financial services industry. For more than two centuries, we’ve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You’ll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility. We truly believe our employees’ diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.

State Street is an equal opportunity and affirmative action employer.

Discover more at StateStreet.com/careers