Compliance Officer

 Tokyo, Japan       Permanent contract        Corporate and Investment Banking

Responsibilities


Main responsibilities:
  • In-charge of Staff licensing and registration for securities, financial futures, commodities, and money lending business
  • Daily Regulatory Watch (sharing notice from regulators with relevant internal stakeholders)
  • Prepare internal reports, such as report for Local Executive Committee, Regional/Global Compliance related reporting
  • Performing internal control checks
  • Preparation for regulatory inspections and prepare responses to regulators including following up of corrective action plans (Business Improvement Plan (BIP)/ Business as Usual (BAU) Projects etc.).
  • Regulatory filing, such as company’s registration for membership and business license, examinations, and reporting (Regulatory Reporting Remediation Project (3RP)), etc.
  • Updating Internal Policies
  • Arranging and providing face to face training on Compliance related matters
  • Handling Staff’s personal investment and outside business related matters

Profile Required


Requirement (Qualification/ Years of Experience/ Skill / Knowledge):
  • Minimum 3 years working experience in Financial Services industry
  • Japanese (Native), English (Business level)
  • Basic understanding of Financial Instruments Exchange Law (securities firm related)
  • Experienced in regulatory filing

Why Join Us


Societe Generale is one of the leading financial services groups in Europe. Present in over 50 countries across Europe, the Americas and Asia. Societe Generale provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.


Today, Societe Generale in Japan consists of four core businesses: Societe Generale, Tokyo Branch; Societe Generale Securities Japan Limited, Lyxor Asset Management Japan and Societe Generale Aircraft Leasing Company Limited. These four entities are in line with our worldwide focus on Investment Banking, Global Finance and Global Markets, and Asset Management.


Central Compliance is responsible for implementation of the company’s governance framework from Compliance perspectives through company registration, periodic/ad-hoc regulatory reporting, coordination/management of regulatory inspections, implementation of important internal policies, handling critical internal projects etc.

Business Insight


Societe Generale is one of the leading financial services groups in Europe. Present in over 50 countries across Europe, the Americas and Asia. Societe Generale provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.


Today, Societe Generale in Japan consists of four core businesses: Societe Generale, Tokyo Branch; Societe Generale Securities Japan Limited, Lyxor Asset Management Japan and Societe Generale Aircraft Leasing Company Limited. These four entities are in line with our worldwide focus on Investment Banking, Global Finance and Global Markets, and Asset Management.


Central Compliance is responsible for implementation of the company’s governance framework from Compliance perspectives through company registration, periodic/ad-hoc regulatory reporting, coordination/management of regulatory inspections, implementation of important internal policies, handling critical internal projects etc.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Job code: 200000B4
Business unit: Societe Generale Securities Japan Limited
Starting date: 07/02/2020
Date of publication: 08/01/2020
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Compliance Officer

Permanent contract   |   Tokyo   |   Corporate and Investment Banking