Compliance Officer Compliance Officer …

M&G plc.
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Be the first to apply
M&G plc.
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Be the first to apply
M&G plc.
At M&G our vision is: to become the best loved and most successful savings and investment business and we’re looking for people who are excited about joining us on our journey. We’re digitally transforming and investing heavily in technology and innovation to develop new and improved customer propositions that really raise the bar for our customers. To help us achieve our vision we’re looking for exceptional people who live our values and behaviours and who can inspire others; embrace change; deliver results and keep it simple.

What you can expect from us:

We are committed to creating an environment where you can be exceptional at all you do. To help us deliver this, we promise to:

  • Challenge Your Limits by creating a stimulating working environment and providing opportunities for you to be involved in meaningful and challenging work
  • Support Your Aspirations with a commitment to learning and development that helps you achieve and build your experience with people who want you to succeed
  • Value Your Input whereby leaders and managers will involve you in key decisions, listen to your thoughts and recognise the important contribution you make
  • Balance Your Life through a work life partnership that focuses on making this an inclusive, diverse and friendly place to work and offers the flexibility and support that enables everyone to be at their best

The Role:

This role is in charge of the enhancement of the Compliance, Internal control and Governance framework to comply with Japan FIEA and applicable Japanese laws and regulations as well as M&G Group Policies. Japan Compliance officer also provides support to regional Risk and Corporate secretarial functions as and when required given local language requirements.

Key Work Level Accountabilities:  

Manager or Expert:

  • For technical specialists, accountable for delivering expert advice or service, using specialist knowledge and subject matter expertise
  • Applies judgement to deliver outcomes, evaluating a range of potential solutions, considering the impact for customers, cost and risk
  • Manages conflicts that may impact delivery
  • Challenges upwards given knowledge of delivery and awareness of complex systems and the broader picture
  • Identifies and anticipates need for changes to continuously improve quality and efficiency of output
  • Manages resources and risks using expert judgment, know-how and experience

Key Responsibilities for this role:

  • Provide regulatory advice to the local Distribution team regarding the promotion of M&G managed strategies for Japanese investors
  • Support DIM/type II business requirements
  • Work with the review team in M&G Group Compliance to review marketing materials
  • Provide regulatory advice to the Real Estate asset sourcing and asset management team
  • Regulatory reporting to the FSA, KFB, JIAA , and T2fifa
  • Maintain Japan policies and procedures to reflect regulatory updates in Japan along with M&G Group policies.
  • Implement AML process as AML officer on Japan AML law along with Group Financial Crime Policy
  • Arrange regular compliance training
  • Implement Japan Compliance Plan to align with Group Compliance plan
  • Regular Compliance Monitoring
  • Anti-social force handling officer
  • Handle customer complaints and Incidents as Customer Compliant Handling Officer
  • Support for the Personal Information Protection officer to implement the internal control of the Personal information protection
  • Manage regulator’s audits
  • Support Internal Audit and external audit to implement corrective actions
  • Support APAC Risk as the local designated risk officer of MGIJ given regulatory requirements
  • Support Corporate Secretary to arrange regular board meetings and shareholders meeting
  • Report to the Government affairs regarding change of Corporate registries
  • Support global initiatives and projects in M&G Group Compliance

Key Knowledge, Skills & Experience:

  • University degree (or equivalent qualification) 
  • Relevant Compliance qualification (e.g. International Compliance Association, Chartered Institute for Securities & Investment, Certified Anti-Money Laundering Specialist) 
  • Relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate) 
  • Demonstrates a professional knowledge of the key Japanese legal and regulatory frameworks including financial crime (AML, CTF, Fraud, Sanctions, ABC and tax evasion)
  • Regulatory and compliance knowledge of regulatory environment for funds and investment services 
  • Excellent written and oral communication skills 
  • Ability to conceptualise complex issues
  • Ability to manage and deliver change 
  • Team player, supportive with collegiate approach 
  • Be proactive, demonstrate well considered judgements and anticipate emerging risks

We live by four behaviours at M&G and we ask all our employees to:

  • Inspire Others – Support and encourage each other, creating an environment where everyone can contribute and succeed
  • Embrace Change  - Be open to change, willing to be challenged and able to adapt quickly and imaginatively to new ideas
  • Deliver Results - Focus on outcomes, set high standards and deliver with energy and determination
  • Keep it Simple - Cut through complexity and bureaucracy, be clear and decisive and never overcomplicate things

At M&G Diversity and Inclusion is a strategic objective. We know that an inclusive environment makes us more accessible and ensures we attract, engage, promote and retain exceptional people.  We welcome applications from all individuals regardless of age, gender/gender identity, sexual orientation, ethnicity/nationally, disability, or military service and welcome those who have taken career breaks. We will consider flexible working arrangements for any of our roles.

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