SUMMARY

ACBD1 is a front office function serving Japanese corporate clients in the U.S. The Compliance and Risk Management Unit, part of the Planning Team within ACBD1, is responsible for a wide range of compliance matters and risk management initiatives. The primary responsibilities of this role include:

• Collaborating with other unit members to ensure ACBD1 remains fully compliant with the bank's internal policies and procedures.
• Supporting the Unit Head (UH) on various issues, challenges, and projects initiated by ACBD1 or related departments, leveraging strong analytical skills.
• Providing general support to the ACBD1 Planning Team for tasks assigned by the UH.

PRINCIPAL DUTIES

Responsibilities include, but are not limited to:

Supporting front office staff by accurately and promptly handling daily compliance-related operations.

• Japan & U.S. Laws and Regulations: Understanding detailed Head Office procedures and U.S. local policies related to Japanese and U.S. laws. Responding to staff inquiries, conducting required training, and preparing/submitting periodic reports to the Head Office in a timely manner.
• Information Control: Maintaining logs for important and non-public information. Conducting required training for ACBD1 staff.
• Compliance Library: Maintaining an up-to-date Compliance Library for ACBD1 staff use.
• Operational Errors / Incident Reports: Logging Risk Event reports for the division. Supporting staff in preparing reports via Archer and following up on remedial actions.
• Authorization: Ensuring appointment/designation applications, forms, and Authorization Memos are kept up to date.
• Entertainment/Gifts: Supporting ACBD1 to align entertainment and gift procedures by conducting compliance inspections.

Reporting: Preparing and submitting various reports to Americas Legal and Compliance Department/Head Office in a timely and appropriate manner.

• Compliance Testing: Coordinating ALCD compliance testing.
• Internal/External Audits: Working closely with audit coordination staff at ACBD1 for various audits.

Risk Management: Leading initiatives to enhance the risk management framework at ACBD1 in alignment with requirements from Head Office and MUSO management.

• Coordination Hub: Representing ACBD1 in cross-functional risk management frameworks—including Operational, Reputational, and Liquidity Risk (excluding Credit Risk).
• Project Planning and Implementation: Driving ACBD1's business initiatives related to risk management, such as information security.

Other Duties:

• Responsible for additional compliance and risk management tasks, as well as ad-hoc projects assigned by the unit head, contributing to ACBD1's organizational objectives as a member of the Planning team.
• Conducting annual reviews of internal procedures.

REQUIREMENTS

Technical Skills Required:

• Bilingual proficiency in English and Japanese (reading, writing, speaking).
• Strong ability to understand policies and procedures written in both languages.
• Analytical and multitasking skills.
• Excellent time management and organizational abilities.
• Detail-oriented and goal-driven mindset.
• Effective interpersonal and communication skills.
• Proficiency in Microsoft Excel and other Office applications (Word, PowerPoint, Outlook).
• Ability to handle confidential information with discretion.
• Flexibility and willingness to learn in a dynamic environment.

Other Requirements:

• Bachelor's degree or higher in Finance, Accounting, Business, or Economics preferred.
• Experience in the banking industry is a plus.

The expected base salary ranges from 64, 500 - $85, 000. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, including Medical, Dental and 401K plans, successful candidates are also eligible to receive a discretionary bonus.

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