Senior Compliance Associate

Team/Department Description : Compliance - Moody's Investors Service

Role/Responsibilities :

Compliance Senior Associate will provide support to the Japan compliance team members to handle, develop, update and deliver compliance and regulatory filing documents to Japanese regulators in addition to handling external and internal Compliance reports and inquiries.

Key Areas of the role are as follows:

• Managing recurring periodic regulatory requirements working with local and global business and other relevant stakeholders;
• Monthly, Quarterly, and Annual reporting to JFSA;
• Coordinate, compile/update data, drafting/editing submission, collaborating with Moody’s Global Compliance Project Management and interfacing with JFSA and SESC staff;
• Biennial Group Designation Report submission;
• Coordinate/compile data, drafting/editing submission, collaborating with Moody’s Global Compliance Project Management and interfacing with JFSA and SESC staff;
• Coordinate/compile data, drafting/editing submissions collaborating with Moody’s Global Compliance Project Management;
• Prepare Annual Legal Ledger Review;
• For Compliance and regulatory internal initiatives collaborating with Moody’s Global Compliance and other relevant business stakeholders
• Recurring Ad Hoc requirements;
• Support Japan Target Reviews conducted by Moody’s Global Compliance Surveillance;
• Setup and support Japan Annual/ Ad-hoc Japan Compliance Training sessions;
• Collecting most updated Personal Data sheets from each Japan office department (PIPA requirements) bi-annually;
• Support managing and updating MJKK/MSFJ Compliance Policies and Procedures interfacing with Moody’s Global Compliance Policy Team;
• Support Oversight Committee Secretariat;
• File, save and organize regulatory/ Compliance document files into the designated folders/files;
• Leading and managing our Anti-Social Forces annual compliance program.

Ad Hoc requirements;

• JFSA filing for updates of designated local internal rules (Eg., Codes of Conduct);
• Coordinate/compile data, drafting/editing submission, interfacing with JFSA and SESC staff;
• JFSA filing of changes of directors, statutory auditor, OC member, Ros;
• Coordinate/compile data, drafting/editing submission, interfacing with JFSA and SESC staff;
• JFSA reporting of updates to entity particulars of MJKK’s Group Designated rating affiliates;
• Ability to engage and monitor progress on compliance projects when required;
• Support onsite regulatory inspections;
• Assist in data provision, documentation and communication;
• Support Internal audit requests.

Qualifications:

• Bachelor degree or equivalent professional qualification;
• 3-5 years of regulatory compliance experience would be preferred or relevant financial services experience would also be considered;
• Good command of language skills in both English and Japanese to deal with Japanese regulatory documents and communicate with overseas internal colleagues;
• Able to meet Mood’s high ethical and professional standards working in a diverse and inclusive workplace environment;
• Strong team player looking for career development and growth opportunities in a multi-cultural major international corporation;

Technical and general skills:

• Excellent verbal and written communication skills in both Japanese and English;
• Basic computer competence in Word, Excel, and PowerPoint etc;
• Ability to multi-task and work cooperatively with multiple stakeholders locally and internationally.