Senior Compliance Specialist, Pacific Region
CrossCountry Mortgage, LLC
Vice President, Country Compliance Officer
BNY
full-time
Posted on:
Origin: • 🇯🇵 Japan
Visit company websiteJob Level
Lead
About the role
- At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Recognized as a top destination for innovators and champions of inclusion, BNY is where bold ideas meet advanced technology and exceptional talent. We’re seeking a future team member for the role of VP, Country Compliance Officer to join our Japan Compliance team. The Country Compliance Officer (Vice President) is responsible for the end-to-end design, implementation and oversight of the compliance program for the Tokyo Branch of BNY, BNY Securities Japan (“BNYMSJ”) and BNY Trust Japan (“BNYMTJ”). Act as the single point-of-contact for inspections, inquiries and ongoing dialogue with FSA, BOJ, MOF, JSDA and industry associations (JBA, IBA). Coordinate, prepare and host regulatory examinations and on-site audits; manage remediation plans and follow-up. Submit all required license applications, notifications, system-incident reports and periodic filings. Develop and maintain country-specific compliance program: maintain law inventories, conduct horizon scanning for regulatory change, and lead annual Compliance Risk Assessments. Map compliance controls to identified risks; design and execute monitoring and surveillance testing. Oversee receipt, investigation and escalation of incident reports (e.g., privacy breaches, code-of-conduct violations, MNPI disclosures). Draft, review and update local internal policies, procedures and guidelines, ensuring alignment with global standards and Japanese requirements. Lead local implementation of global policy changes; provide input to Group on carve-outs or impacts to Japan. Manage change controls for new products, services and business-process enhancements. Design and deliver targeted compliance training programs, including new-hire onboardings, annual refreshers and regulatory deep-dives (AML/CTF, conduct, data privacy). Provide day-to-day advisory support to business lines, operations and support functions on compliance queries. Maintain and disseminate JSDA notifications, regulator bulletins and internal compliance communications. Support the AML/CTF Officer in Japan by overseeing KYC/CDD processes, transaction monitoring and suspicious activity reporting. Implement sanctions screening, alerts management and escalation protocols; coordinate with Global Sanctions team. Serve as participant for local Oversight Committees; prepare agendas and management reports. Draft annual compliance plans to the APAC Head of Compliance. Escalate material compliance issues or emerging risks promptly to senior management and global stakeholders. Oversee the Screening and Registration of Sales Representatives with JSDA, including training requirements tracking. Manage the whistleblower and complaints channels; ensure timely investigation and resolution. Coordinate with Testing and Internal Audit on scope of compliance controls; drive remediation activities. Advise on cross-border transactions, business partner due diligence and conflicts-of-interest reviews. Lead root-cause analysis and continuous improvement initiatives following compliance incidents.
Requirements
- Native-level Japanese and professional fluency in English Designated Internal Control Manager under JSDA regulations (or equivalent). Minimum 8–10 years’ experience in financial-institution compliance, including regulatory communications and on-site inspections. Deep knowledge of AML/CTF, sanctions controls, data privacy and Japanese securities laws. Strong analytical, project-management and stakeholder-engagement skills. Bachelor’s degree or higher; advanced degree or relevant certifications (e.g., CAMS, CRCM) preferred.
