Compliance Officer CCU #156574Japan-Tokyo-Tokyo|Full-time (FT)|Corporate Functions|
156574Legal & ComplianceEnglish
Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.
This role will focus on the execution and development of the Financial Crime Compliance Program across both Credit Suisse Private Banking and Investment Banking division providing approvals during the client life cycle. The role will ensure that the Program meets internal and applicable local legal or regulatory requirements and standards. The individual would work within the wider Compliance team and may be required to provide regional support to the respective country MLROs in ensuring that Global and Regional FCC standards are appropriately implemented and executed.
We are a department that values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global Conduct and Ethics Standards.
- Part of the APAC Compliance Operations team covering private bank, investment bank and 2 legal entities in Japan.
- Ensure execution of controls from a second line of defense perspective across the life cycle in compliance with Global Policy and local regulatory requirements.
- Perform due diligence controls and approval of accounts during the client life cycle in global/regional alignment for target operating model. This should include both account opening and change in circumstances.
- Develop and implement an effective compliance program and sound internal control environment.
- Conduct testing of adherence to regulations, internal policies and rules.
- Draft and revise company internal procedures and policies.
- Assist in the education and training of employees on rules, regulations and internal policies as well as developing industry standards.
- Seek to support with regulatory inspections and audits.
- Engage with key business partners of the firm to build positive relationships, improve processes and share knowledge.
- Represent Compliance Operations to provide comments to various projects / initiatives.
- Coordinate with Financial Crime Compliance and Global Compliance function
- Manage ad-hoc tasks as required.
- Understand the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work. This should be further elaborated on in your application.
- Relevant experience (2-5 years) in the financial industry.
- Native Japanese language skills (reading, writing and speaking); business level English as the role is based in Japan
- Outstanding written and verbal communication skills and good partnership
- Self-motivated and is well organized with an appetite to learn. Committed to stay ahead of industry developments, internal standards and business goals.
- Outstanding collaborator with excellent attention to detail, problem solving ability.
- Compliance approach for the adherence to policy and regulations and act as a check/challenge/support function.
- Compliance background, Customer Due Diligence background and/or the relevant qualification is preferable.
- Registration for Sales Rep 2 and Internal Control Officer are required upon joining
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.