Job Information
S&P Global Compliance Officer, Ratings in Tokyo, Japan
About the Role:
Grade Level (for internal use):
10
S&P Global Ratings
The Role: Compliance Officer, Ratings (long-term Contractor role)
The Location: Tokyo - Japan
The Team: Compliance Officer reports to head of Japan Rating Compliance locally. The Tokyo Compliance team that is part of the Asia Pacific Compliance team of S&P Global Ratings. Tokyo Compliance team is primarily in charge for providing compliance coverage for S&P Global Ratings in Tokyo.
The Impact: This role will provide broad range of responsibilities assisting Japan Rating Compliance team in a global environment company.
What’s in it for you: The successful candidate will have the opportunity and will be in charge to liaise with regulators, the Japan Financial Services Agency (“JFSA”) as well as assisting the development and implementation of the compliance program for Japan. The candidate will also be required to interact with Compliance counterparts, Legal and Regulatory Affairs Department globally as well as in the region.
Responsibilities:
Conduct Compliance Monitoring Program and report to the management and Supervisory Committee members
Provide advice on compliance and regulatory matters, review new business and operational initiatives, and participate in relevant committees
Assist the establishment and/or enhancement of policies and procedures as well as their implementation
Manage interactions with FSA including regulatory filings, collating and coordinating responses to regulatory queries, addressing recommendations arising from regulatory surveillance and/or examinations
Assist in the development of compliance training and ongoing communications that promote heightened awareness of codes of conduct, policies and procedures, and the knowledge of compliance issues
Collaborate with various control functions to ensure that issues being escalated are followed up and resolved appropriately. Consult with Legal Department, as needed, to resolve complex regulatory and compliance issues
What We’re Looking For:
Basic Qualifications:
Bachelor’s degree or equivalent
Financial services experience with the ability to work within a complex regulatory environment
Strong customer & compliance focus and attention to detail
At least 3 years of compliance experience or dealing with regulatory bodies with banks or financial services firm
Strong oral and written communication skills in English and Japanese
Self-motivated and well-organized; diligent and attentive to details; able to prioritize tasks and work well under pressure
Strong computer skills, specifically MS Office (PowerPoint, Excel and Word)
Preferred Qualifications:
Good person-to-person and negotiation skills; ability to drive consensus across business groups and deal with challenging situations at all levels of the business in a resilient, confident and practical manner
Good presentation, writing and analytical skills; able to comprehend and communicate industry rules and regulations effectively to employees at all levels of the business
Ability to judge between the commercial needs of the businesses and the constraints of the regulatory and compliance requirements, and make decisions accordingly
About S&P Global Ratings
At S&P Global Ratings, our analyst-driven credit ratings, research, and sustainable finance opinions provide critical insights that are essential to translating complexity into clarity so market participants can uncover opportunities and make decisions with conviction. By bringing transparency to the market through high-quality independent opinions on creditworthiness, we enable growth across a wide variety of organizations, including businesses, governments, and institutions.
S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is the world’s foremost provider of credit ratings, benchmarks, analytics and workflow solutions in the global capital, commodity and automotive markets. With every one of our offerings, we help many of the world’s leading organizations navigate the economic landscape so they can plan for tomorrow, today.
For more information, visit www.spglobal.com/ratings
What’s In It For You?
Our Purpose:
Progress is not a self-starter. It requires a catalyst to be set in motion. Information, imagination, people, technology–the right combination can unlock possibility and change the world.
Our world is in transition and getting more complex by the day. We push past expected observations and seek out new levels of understanding so that we can help companies, governments and individuals make an impact on tomorrow. At S&P Global we transform data into Essential Intelligence®, pinpointing risks and opening possibilities. We Accelerate Progress.
Our People:
We're more than 35,000 strong worldwide—so we're able to understand nuances while having a broad perspective. Our team is driven by curiosity and a shared belief that Essential Intelligence can help build a more prosperous future for us all.
From finding new ways to measure sustainability to analyzing energy transition across the supply chain to building workflow solutions that make it easy to tap into insight and apply it. We are changing the way people see things and empowering them to make an impact on the world we live in. We’re committed to a more equitable future and to helping our customers find new, sustainable ways of doing business. We’re constantly seeking new solutions that have progress in mind. Join us and help create the critical insights that truly make a difference.
Our Values:
Integrity, Discovery, Partnership
At S&P Global, we focus on Powering Global Markets. Throughout our history, the world's leading organizations have relied on us for the Essential Intelligence they need to make confident decisions about the road ahead. We start with a foundation of integrity in all we do, bring a spirit of discovery to our work, and collaborate in close partnership with each other and our customers to achieve shared goals.
Benefits:
We take care of you, so you can take care of business. We care about our people. That’s why we provide everything you—and your career—need to thrive at S&P Global.
Our benefits include:
Health & Wellness: Health care coverage designed for the mind and body.
Flexible Downtime: Generous time off helps keep you energized for your time on.
Continuous Learning: Access a wealth of resources to grow your career and learn valuable new skills.
Invest in Your Future: Secure your financial future through competitive pay, retirement planning, a continuing education program with a company-matched student loan contribution, and financial wellness programs.
Family Friendly Perks: It’s not just about you. S&P Global has perks for your partners and little ones, too, with some best-in class benefits for families.
Beyond the Basics: From retail discounts to referral incentive awards—small perks can make a big difference.
For more information on benefits by country visit: https://spgbenefits.com/benefit-summaries
Diversity, Equity, and Inclusion at S&P Global:
At S&P Global, we believe diversity fuels creative insights, equity unlocks opportunity, and inclusion drives growth and innovation – Powering Global Markets. Our commitment centers on our global workforce, ensuring that our people are empowered to bring their whole selves to work. It doesn’t stop there, we strive to better reflect and serve the communities in which we live and work, and advocate for greater opportunity for all.
S&P Global has a Securities Disclosure and Trading Policy (“the Policy”) that seeks to mitigate conflicts of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to the Policy’s requirements, candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition and remediation of positions when there is an effective or potential conflict of interest. Employment at S&P Global is contingent upon compliance with the Policy.
Equal Opportunity Employer
S&P Global is an equal opportunity employer and all qualified candidates will receive consideration for employment without regard to race/ethnicity, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, marital status, military veteran status, unemployment status, or any other status protected by law. Only electronic job submissions will be considered for employment.
If you need an accommodation during the application process due to a disability, please send an email to: EEO.Compliance@spglobal.com and your request will be forwarded to the appropriate person.
US Candidates Only: The EEO is the Law Poster http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf describes discrimination protections under federal law.
202 - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.1 - Middle Professional Tier I (EEO Job Group)
Job ID: 298591
Posted On: 2024-04-15
Location: Tokyo, Japan