Operations Risk and Control team is responsible for Transaction Reporting, Disclosure of Interest, and Client
Asset Protection. Our goal is to ensure the establishment of effective industry leading controls through
structured risk identification and the proactive review of global Operations processes. ORC performs
complex, multi-product regulatory reporting and ensures the appropriate guardianship of client assets.
The team is an interface between Operations, Regulators, internal and external Auditors, Technology,
and Legal and Compliance.
About the Role:
- Investigate and resolve the exceptions to identify the correct position and balance of Client Asset.
- Understand the requirement on regulatory reports on Client Asset, prepare the report and submit in time.
- Create or update the procedure manuals.
- Escalate/report and mitigate risks associated with Client Asset Protection process.
- Set the Governance on Japan Client Asset Protection, and ensure the procedures owned by all teams
are in compliant with the Japan regulation as well as Firm’s policy and procedure.
- Identify areas for process improvement to improve the control and efficiency of the process.
- Self motivated with positive working attitude
- Work and contribute as a team
- Good communication skills, able to interact and communicate effectively across cultural and hierarchical
lines within the Firm
- Ability to identify problems as they arise and understand when they need to be escalated
- Adaptable and flexible to changes and new challenges -Keen to learn new skill sets and does so quickly
- English and Japanese - Fluent in written and spoken communication
- Proficiency in Microsoft Office (Excel, Word, and PowerPoint)
- Knowledge of Japan regulatory reporting and legal ledger (FIEL)
- Experience in technology related project
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