Wise
FinTech
ChiefComplianceOfficer,Japan
“Chief Compliance Officer, Japan at Wise. Skills: Compliance, Internal Control, Regulatory Liaison, Financial Instruments and Exchange Act (FIEA), FSA Guidelines, JSDA rules. Improve the compliance product. Work with the Business Team to obtain (and maintain) the relevant Type 1 Financial Instruments Business Operator (FIBO) license”
What You'll Achieve.
Improve the compliance product in line with our mission to be instant, convenient, transparent, and eventually free; Obtain (and maintain) the relevant Type 1 Financial Instruments Business Operator (FIBO) license; Build trust with our regulators (KLFB/FSA); Ensure policies and practices adhere to local AML laws and compliance standards; Manage and strengthen the team's relationships with regulators; Keep everybody informed and protecting our most valuable asset, our customers; Respond to information requests; Proactively communicate product changes and notifiable events; Manage effective compliance frameworks, policies, and governance documentation; Track and monitor our regulatory risk, compliance with regulatory requirements, and internal policies; Report management information to the Board so they are aware of the key risks; Empower teams to build risk-based processes which are clearly documented; Scrutinise and test compliance programs; Provide constructive feedback; Be responsible for resolutions; Adapt your focus on different compliance issues depending on growth plans and compliance needs
Industry & Context.
Designing and challenging processes; Develop systems to track and monitor our regulatory risk, compliance with regulatory requirements, and internal policies; Develop our risk-based approach
Travel to our operational offices
What They're Looking For.
Must Have
10+ years of relevant industry experience in compliance or internal control within a securities firm or FIBO, Relevant degree (Finance, Law, Economics) or a recognized industry qualification, Passed the relevant Japan Securities Dealers Association (JSDA) examinations (expected: Compliance Officer qualification (内部管理責任者資格) and Securities Representative License (証券外務員資格)), Business-level to fluent proficiency in both Japanese and English, Demonstrable experience designing and challenging processes, ideally across multiple products, Meticulous attention to detail
Nice to Have
Background in investments, dealing in Collective Investment Schemes funds, and capital markets services, Expert in compliance related to a Type 1 Financial Instruments Business Operator (Type 1 FIBO), May be currently working, have worked, or work directly with the Kanto Local Finance Bureau (KLFB) and Financial Services Agency (FSA), Considered the challenges and development opportunities of working at a fast growing scale-up, Looking to get into FinTech or develop your knowledge of payments and asset compliance
What You'll Do.
Improve the compliance product
Work with the Business Team to obtain (and maintain) the relevant Type 1 Financial Instruments Business Operator (FIBO) license
Build trust with our regulators (KLFB/FSA) as the Chief Internal Control Officer
Manage and coordinate meaningful reporting internally and externally
Respond to information requests
Proactively communicate product changes and notifiable events
Maintain and manage effective compliance frameworks
and governance documentation
Carry out the compliance function pertaining to the Financial Instruments and Exchange Act (FIEA)
Japan Securities Dealers Association (JSDA) rules
and any other applicable law governing the regulated activities under the KLFB/FSA
Develop systems to track and monitor our regulatory risk
compliance with regulatory requirements
and internal policies
Report management information to the Board
Educate teams about Japanese capital market regulatory requirements
Empower teams to build risk-based processes which are clearly documented
Scrutinise and test compliance programs
Work with Operational teams to develop our risk-based approach
Provide constructive feedback
Be responsible for resolutions
Adapt your focus on different compliance issues depending on growth plans and compliance needs
How You'll Work.
Team & Collaboration
Work with a growing team of multidisciplinary specialists across Product, Treasury, and Security; Work with global Product and Operational teams in Singapore, Europe, and Tallinn; Develop an in-depth knowledge of Wise’s business and get to know many teams across the company as you liaise with them to help them understand regulatory frameworks and bring together the information that our regulators need; Help keep compliance right at the heart of our product development by helping our regulator understand our mission, and through horizon-scanning for new regulatory developments to share with teams; Work with teams to report management information to the Board; Educate teams about Japanese capital market regulatory requirements; Empower teams to build risk-based processes which are clearly documented; Work with Operational teams to develop our risk-based approach
Communication Scope
Great communication skills; Business-level to fluent proficiency in both Japanese and English is required for regulatory liaison and internal global communication
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