JP Morgan Workplace Solutions addresses the financial needs of employers and their employees using a suite of firmwide products such as equity compensation and executive services. The firm entered the equity compensation industry with our acquisition of Global Shares. We are committed to building the industry's best stock plan administration software and services offering that allows our customers to attract and retain key employees.
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.
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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.
ABOUT US
J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
ABOUT THE TEAM
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we're setting our businesses, clients, customers and employees up for success.