Compliance Officer for Sanford C. Bernstein Japan KK

 Duties 

• Act as a main contact point for local regulators, this includes responding regulatory inquiries and handling regulatory inspections
• Regulatory reporting and filing, for example but not limited to changes of internal policies related to SCBJ’s business to respective regulators
• Closely working with regional SCB compliance team to provide compliance advisory for SCBJ business
• Compliance training for SCBJ staffs
• Handling inquiries from offshore affiliate entities
• Corporate governance related tasks, including establishing and maintaining 

Key Skill Areas & knowledge Required: 

• Experience in regulatory interactions as compliance professional
• Ability to manage ambiguity and adapt to change including transformational change
• A team player to work with other teams within and outside compliance
• Knowledge of local regulatory requirements in relevant areas 
• Negotiation and presentation skills
• Native Japanese, business level English
• Internal administrator qualification of JSDA is a plus

Société Générale is one of the leading European financial services groups. Founded in 1864, we have been playing a vital role in the economy for over 150 years. With more than 148,000 employees based in 76 countries worldwide, we accompany 32 million clients throughout the world on a daily basis. Based on a diversified universal banking model, the Group combines financial strength with a strategy of sustainable growth.

Our expertise in the Asia Pacific region ranges from Corporate & Investment Banking (Advisory, Financing and Global Markets) to Asset Management, Securities Services, Trade Finance and Cash Management Services. Leveraging on our formidable global footprint, we serve corporates, financial institutions and the public sector. With our regional headquarters in Hong Kong, we operate in 11 countries across Asia Pacific, employing over 6,600 employees. You can find us in Beijing, Seoul, Tokyo, Singapore, Mumbai, Sydney and other locations in the region.

Primary Objective

Sanford C. Bernstein Japan KK (SCBJ) is a Japan incorporated Societe Generale Japan group entity and is a subsidiary of joint venture of Societe Generale and Alliance Bernstein. SCBJ is operating its business under Investment Advisory and Agency business license from Japan Financial Services Agency.

The Compliance Officer in charge of SCBJ will be responsible for compliance related matters, including but not limited to regulatory relations, regulatory reporting and filing, compliance advisory for SCBJ’s business and corporate governance related tasks for SCBJ.

This position will have direct reporting line to Head of Compliance of Societe Generale Japan, and functional reporting line to the SCB regional head of compliance in Hong Kong.