Head of Advisory Compliance, Asset Management Japan

The AMJP Head of Advisory Compliance is responsible for ensuring that the operations of HSBC Asset Management (Japan) Limited (AMJP) are effective in identifying, managing and mitigating Regulatory Compliance risks and for ensuring timely advice is provided to the business.      

 The responsibilities of the AMJP Head of Regulatory Compliance are to:

• Articulate the Regulatory Compliance risks for AMJP.

• Support AMJP to maintain an effective control framework and to ensure compliance with all relevant external laws and regulations, internal codes and policies and best market practice.

• Provide appropriate advice to AMJP management in order to ensure a clear understanding of Regulatory Compliance risk exposure with respect to clients, transactions and products. Assist AMJP management, head of Regulatory Compliance Japan, Japan and regional management on all material compliance related matters related to AMJP. 

• Manage the relationship with relevant regulators on behalf of AMJP.

• Exercise risk steward challenge and act as a trusted advisor in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.
• Represent the Regulatory Compliance agenda in AMJP governance forums. Report on progress and issues in relation to the operational effectiveness of HSBC’s policies, processes, systems and controls in countering Regulatory Compliance risks.

Impact on the Business

• Oversee the critical Regulatory Compliance policies and systems that impact AMJP and ensure that the Group’s exposure to Regulatory Compliance related to AMJP is managed in a commercially sensitive, practical and cost effective manner.
• Provide advice and support on Regulatory Compliance matters to AMJP management, Regulatory Compliance management and other colleagues.
• Membership of AMJP governance committees.

Customer / Stakeholders

• Reporting to Head of Regulatory Compliance, Japan on Regulatory Compliance matters.  
• Ensure that senior management are appropriately advised of all material Regulatory Compliance related matters relating to AMJP.
• Manage and foster a strong relationship with all relevant regulators in relation to the activities of AMJP and ensure timely disclosure of relevant information, in relation to Regulatory Compliance related matters.
• Ensure that positive relationships are maintained with other external stakeholders relevant to the Regulatory Compliance agenda.

Leadership and Teamwork

• Provide leadership within Regulatory Compliance as a member of the Japan Regulatory Compliance management team.  Manage one direct report.
• Maintain and develop positive and professional working relationships with senior business managers and Regulatory Compliance colleagues both locally and at the regional level.
• Create an environment for the delivery of consistent performance measurement, training, career management and succession planning.

Operational Effectiveness and Control

• Create a framework for the effective risk-based monitoring of the implementation of Regulatory Compliance risks on AMJP related policies and controls.
• Agree and oversee the implementation, embedding and monitoring of adherence to Regulatory Compliance policies.