Markets Compliance Officer, Assistant Vice President (AVP)

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. The team plays an important role in the overall success of the organization, navigating employees and the organization as a whole.

Requirements

• 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.