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About the Role

The AMJP Head of Advisory Compliance is responsible for ensuring that the operations of HSBC Asset Management (Japan) Limited (AMJP) are effective in identifying, managing and mitigating Regulatory Compliance risks and for ensuring timely advice is provided to the business.

Responsibilities

Articulate the Regulatory Compliance risks for AMJP.
Support AMJP to maintain an effective control framework and to ensure compliance with all relevant external laws and regulations, internal codes and policies and best market practice.
Provide appropriate advice to AMJP management to ensure a clear understanding of Regulatory Compliance risk exposure with respect to clients, transactions and products.
Assist AMJP management, head of Regulatory Compliance Japan, Japan and regional management on all material compliance related matters related to AMJP.
Manage the relationship with relevant regulators on behalf of AMJP.
Exercise risk steward challenge and act as a trusted advisor in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.
Represent the Regulatory Compliance agenda in AMJP governance forums.
Report on progress and issues in relation to the operational effectiveness of HSBC’s policies, processes, systems and controls in countering Regulatory Compliance risks.
Oversee critical Regulatory Compliance policies and systems impacting AMJP, ensuring commercial, practical, and cost-effective management of Group’s Regulatory Compliance exposure.
Provide advice and support on Regulatory Compliance matters to AMJP management, Regulatory Compliance management, and other colleagues.
Participate in AMJP governance committees.
Report to Head of Regulatory Compliance, Japan on Regulatory Compliance matters.
Ensure senior management is appropriately advised of all material Regulatory Compliance related matters concerning AMJP.
Manage and foster strong relationships with relevant regulators regarding AMJP activities and ensure timely disclosure of relevant information.
Maintain positive relationships with other external stakeholders relevant to the Regulatory Compliance agenda.
Provide leadership within Regulatory Compliance as a member of the Japan Regulatory Compliance management team.
Manage one direct report.
Maintain and develop positive and professional working relationships with senior business managers and Regulatory Compliance colleagues locally and regionally.
Create an environment for consistent performance measurement, training, career management, and succession planning.
Create a framework for effective risk-based monitoring of the implementation of Regulatory Compliance risks on AMJP related policies and controls.
Agree and oversee the implementation, embedding, and monitoring of adherence to Regulatory Compliance policies.

Requirements

Significant experience as a senior compliance officer within the Japan asset management industry, ideally within a global firm.
Excellent communication and inter-personal skills, with experience of dealing with executives at all levels.
Native level Japanese language ability.
Business level English language ability.
Ability to develop practical, cost-effective solutions to complex local and global issues.

Experience Level

Senior compliance officer

About the Company

HSBC Asset Management (Japan) Limited (AMJP)