Regulatory Caseworker managing individual caseloads for crofting applications in Scotland. Communicating with stakeholders and ensuring accurate record - keeping and compliance in crofting regulations.
About the role
- Head of Markets Compliance in the Institutional Risk and Compliance team at ANZ Japan. Managing regulatory and compliance risks associated with Markets Business activities.
Responsibilities
- Provide proactive compliance advice and alternative solutions to support new Markets business initiatives.
- Ensure proper Markets product governance from a local regulatory perspective.
- Monitor Markets business activities to minimise regulatory risk and protect ANZ’s reputation, with focus on conduct, licensing, and Firewall/Chinese Wall requirements.
- Build and maintain strong relationships with local regulatory bodies (e.g., FSA, JSDA).
- Lead ad‑hoc incident reporting, regulatory filings, sales representative registrations, and periodic regulatory reporting.
- Develop and maintain the annual Markets compliance action plan, including compliance training for Markets teams.
- Review and challenge the effectiveness of 1st Line of Defence controls to prevent misconduct or incidents.
- Act as the primary source of updates on new or revised regulatory requirements for Markets, leveraging networks such as JSDA and IBA.
- Update and manage regulatory obligations registers for the Markets business.
- Maintain and periodically review regulatory reporting registers, ensuring 1st Line attestation and regulatory alignment.
- Evaluate compliance impacts related to internal incidents or events within the Markets business.
- Support the Chief Compliance Officer and team members, acting as a strong culture carrier and demonstrating leadership potential within ANZ Japan.
Requirements
- Extensive Markets Compliance Advisory experience across fixed income, FX, commodities, and derivatives within a foreign securities firm in Japan.
- Strong communicator with business‑level fluency in both Japanese and English (verbal and written).
- Deep experience in regulatory filings and incident reporting with JFSA, JSDA, and other regulatory bodies.
- Strong knowledge and understanding of markets (banking/securities) products — including fixed income, FX, commodities, and derivatives — and the associated regulatory obligations under banking/securities laws, regulations, and industry guidelines.
- A collaborative team player who demonstrates strong cultural alignment and the capability to grow into a future leadership role at ANZ Japan.
- JSDA Sales Representative Series 1 and Internal Control Manager (Naikan) licence.
Benefits
- access to health and wellbeing services
- discounts on selected products and services from ANZ
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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