Job Description

Locations

• Japan, Tokyo

Skills Required

• Japan’s financial services regulatory environmentintermediate
• complianceintermediate
• Complianceintermediate

Preferred Qualifications

• Bachelor’s or Master’s degree in business or equivalent experience. (experience)
• 15+ years of experience in Japan’s financial services regulatory environment, preferably in banking or trust banking, with a background in compliance, risk management, regulatory engagement, or internal controls. (experience, 15 years)
• Experience in a Compliance or Risk Advisory practice at a Big 4 firm would be an advantage. (experience)
• Bachelor’s or Master’s degree in business or equivalent experience. (experience)
• 15+ years of experience in Japan’s financial services regulatory environment, preferably in banking or trust banking, with a background in compliance, risk management, regulatory engagement, or internal controls. (experience, 15 years)
• Experience in a Compliance or Risk Advisory practice at a Big 4 firm would be an advantage. (experience)

Responsibilities

• As Managing Director, Japan - Chief Compliance and Operational Risk Officer, you will:
• Lead the Japan Compliance team and execute the compliance oversight program in line with applicable legal, regulatory, and internal requirements.
• Oversee the non-financial risk management framework for State Street Japan, including risk governance and internal controls.
• 【Primarily covers Investment Services and Markets business, does not cover State Street Investment Management. 】
• Providing value-adding Compliance and Risk Management advice to the business while protecting interest of State Street and our clients.
• Ensure effective identification, assessment, monitoring, escalation, and management of compliance and operational risks for State Street Japan.
• Provide independent challenge to the First Line of Defense on material non-financial risks, helping prioritize remediation and influence risk-based decision-making.
• Engage regional and global stakeholders, legal entity leadership, and senior management on key compliance and risk matters.
• Monitor regulatory changes which will have impact on State Street Japan entities and support participation in the Global Regulatory Change Management program.
• Act as a key liaison with regulators, internal and external advisors, and control functions on compliance and risk-related issues.
• Lead local risk and compliance governance forums and participate in local and regional management meetings, proactively escalating governance gaps and control weaknesses.
• Advise management and front-line teams, including Sales, Relationship Management, and Client Service, on compliance and regulatory matters affecting business decisions.
• Partner with Conduct, Financial Crime, Data Privacy, Operational Risk Management, Legal, and other control groups across State Street as required.
• Manage, develop, and retain Japan Compliance and Non-Financial Risk talent while building strong stakeholder relationships.
• Participate in industry associations, groups and forums to deepen market knowledge, and represent interest of State Street.
• Lead the Japan Compliance team and execute the compliance oversight program in line with applicable legal, regulatory, and internal requirements.
• Oversee the non-financial risk management framework for State Street Japan, including risk governance and internal controls.
• 【Primarily covers Investment Services and Markets business, does not cover State Street Investment Management. 】
• Providing value-adding Compliance and Risk Management advice to the business while protecting interest of State Street and our clients.
• Ensure effective identification, assessment, monitoring, escalation, and management of compliance and operational risks for State Street Japan.
• Provide independent challenge to the First Line of Defense on material non-financial risks, helping prioritize remediation and influence risk-based decision-making.
• Engage regional and global stakeholders, legal entity leadership, and senior management on key compliance and risk matters.
• Monitor regulatory changes which will have impact on State Street Japan entities and support participation in the Global Regulatory Change Management program.
• Act as a key liaison with regulators, internal and external advisors, and control functions on compliance and risk-related issues.
• Lead local risk and compliance governance forums and participate in local and regional management meetings, proactively escalating governance gaps and control weaknesses.
• Advise management and front-line teams, including Sales, Relationship Management, and Client Service, on compliance and regulatory matters affecting business decisions.
• Partner with Conduct, Financial Crime, Data Privacy, Operational Risk Management, Legal, and other control groups across State Street as required.
• Manage, develop, and retain Japan Compliance and Non-Financial Risk talent while building strong stakeholder relationships.
• Participate in industry associations, groups and forums to deepen market knowledge, and represent interest of State Street.
• Proficiency in Japanese and English, with a strong interest in working for a global financial institution.
• Strong knowledge and experience of Japanese financial services regulations (i.e. trust banking business, asset servicing business, foreign bank agency business, foreign exchange business, securities financing business, investment management business, including conduct of business rules, financial crime regulations, foreign direct investment regulations),
• Demonstrated leadership, people management, stakeholder engagement, and influencing skills.
• Sound judgment, problem-solving, decision-making, and negotiation capability.
• Ability to drive change through collaboration and communicate effectively with all levels of the organization, including senior executives.
• Strong analytical, organizational, and project management skills, with the ability to manage competing priorities under pressure and meet tight deadlines.
• Team-oriented mindset with a commitment to continuous learning in compliance, risk, and financial services.
• Proficiency in Japanese and English, with a strong interest in working for a global financial institution.
• Strong knowledge and experience of Japanese financial services regulations (i.e. trust banking business, asset servicing business, foreign bank agency business, foreign exchange business, securities financing business, investment management business, including conduct of business rules, financial crime regulations, foreign direct investment regulations),
• Demonstrated leadership, people management, stakeholder engagement, and influencing skills.
• Sound judgment, problem-solving, decision-making, and negotiation capability.
• Ability to drive change through collaboration and communicate effectively with all levels of the organization, including senior executives.
• Strong analytical, organizational, and project management skills, with the ability to manage competing priorities under pressure and meet tight deadlines.
• Team-oriented mindset with a commitment to continuous learning in compliance, risk, and financial services.

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