About the role
Compliance Officer (Securities) | Revolut United States Personal Business Kids & Teens Company Log in Sign up Compliance Officer (Securities) Office : Tokyo Remote : Japan Apply for this role About Revolut People deserve more from their money. More visibility, more control, and more freedom. Since 2015, Revolut has been on a mission to deliver just that. Our powerhouse of products — including spending, saving, investing, exchanging, travelling, and more — help our 70+ million customers get more from their money every day. As we continue our lightning-fast growth, 2 things are essential to our success: our people and our culture. In recognition of our outstanding employee experience, we've been certified as a Great Place to Work™. So far, we have 13,000+ people working around the world, from our offices and remotely, to help us achieve our mission. And we're looking for more brilliant people. People who love building great products, redefining success, and turning the complexity of a chaotic world into the simplicity of a beautiful solution. About the role ポジションについて 金融業界、特に金融商品取引業における各種規制に関する知識と経験、専門知識をお持ちのコンプライアンスマネージャーを募集しています。 Our Compliance team blends regulatory expertise with data-driven thinking to make sure our products meet legal and policy requirements and deliver real value to customers. In a fast-moving, digital environment, they stay one step ahead by finding smart, scalable ways to manage conduct risk. We’re looking for an innovative and driven Compliance Officer to join the 2nd line of defence in Japan. You'll be supporting the Chief Compliance Officer in Japan to provide the necessary oversight over all things FinCrime (AML, CTF, sanction, and fraud) and regulatory compliance across Revolut’s entities, while maintaining global minimal standards of control effectiveness. If you have extensive experience in a compliance function within the financial industry, come be part of shaping the future of oversight and compliance at Revolut. What you'll be doing Engaging with key stakeholders to provide compliance advice on reporting to financial regulatory authorities Responding to various financial regulations, controls, and inquiries from regulatory authorities related to compliance risks and risk design Identifying compliance risks and issues related to operations, escalating to senior management when necessary Responding to escalations from the first line and providing practical advice on necessary actions Supporting management in establishing internal operational rules to monitor, investigate, and report compliance risks Verifying that internal management systems and governance regarding various financial regulations and compliance risks are functioning properly Providing internal training for employees on compliance related to financial regulations and operations Managing changes in laws, regulations, and guidelines, and appropriately reflecting them in internal policies 業務内容 第一線の主要なステークホルダーと積極的に関わり、金融規制に係る当局への報告や、各種金融規制への対応、コンプライアンスリスクに関するコントロール、リスクの設計についてコンプライアンス上の助言をする。 金融規制等、業務に係るコンプライアンスリスクと問題を特定し、チーフコンプライアンスオフィサーを含むシニアマネジメントにエスカレーションする。 ファーストラインからのエスカレーションに対応し、必要なアクションに関する実践的なアドバイスを提供する。 各種金融規制やコンプライアンスリスクに関するモニタリング、調査、報告の管理に関する社内の運用ルールを規程に定めて、全社的に適用されるよう、経営陣を支援する。 各種金融規制、コンプライアンスリスクに関する社内の管理体制やガバナンスが適切に機能していることを検証する。 金融規制や業務に係るコンプライアンスに関する従業員向けの社内研修を提供する。 法令・規制・ガイドラインの変更を管理し、社内規程やルールに適切に反映させる。 各種金融規制に関する規制当局等からの問い合わせに適切に対応する。 堅牢なコンプライアンス体制の構築と従業員のコンプライアンス意識の醸成を推進する。 コンプライアンス上の問題やリスクの高い問題を発見した際、経営陣や取締役会への報告書を作成し、適時適切に問題をエスカレーションする。 What you'll need 5+ years of experience in a compliance role at a securities firm or other financial institution Knowledge of and experience working with the Financial Instruments and Exchange Act and other financial regulations To be qualified as an internal control officer approved by the Japan Securities Dealers Association (the JSDA) The ability to work with in a diverse, dynamic environment with high-performance and a sense of urgency An understanding of Revolut's business needs to apply strategic thinking skills The ability to identify situations that may pose compliance risks to advise management on best practices The ability to verify and provide assurance on monitoring, investigations, and reporting related to financial regulations Committed to and actively involved in world-class compliance and independent oversight of important issues Fluency in Japanese (native level) and English (business proficiency) 応募資格・求める人物像 金融商品取引法に係る業務を行う国内の証券会社等の金融機関、または規制当局において、5年以上の証券業務に係るコンプライアンス業務の実務経験を有していること。 金融商品取引法その他金融規制に関する知見を有していること。 日本証券業協会の内部管理責任者資格を有していること。 金融免許・登録に関して金融当局との折衝経験があれば尚可。 海外を含む多くのグループと協業し、スピード感を持って業務を遂行できること。 レボリュートのビジネスニーズを理解し、深い戦略的思考を持って業務を行うこと。 重大なコンプライアンス・リスクをもたらす可能性のある状況を積極的に特定し、関連する方針、手順、業務慣行の策定/見直し/更新を経営陣に助言すること。 金融規制に係るモニタリング、調査、報告について検証し、保証を提供する能力を有すること。 新しい規制の動向に関するコンプライアンスレビューと分析を推進し、事業活動に影響を及ぼす動向の監視を維持する。 社内のリスク・コンプライアンスチーム（金融犯罪、コンプライアンス業務、リスク＆コントロールなど）と協力し、規制リスクを軽減するために必要な明確なステップを特定し、明確なビジネス要件の形でそれらの提言を提供する。 経営陣や取締役会への報告書の作成を支援し、重要なコンプライアンス問題やリスクの高い問題を既存のガバナンス体制内でエスカレーションする。 多くの機能グループにまたがって速いペースで仕事をこなし、レボリュートのビジネスニーズを管理できる、深い戦略的思考を持つこと。 世界レベルのコンプライアンスと、この重要な課題の独立した監視に尽力し、それに積極的に関与すること。 ビジネスレベルかそれ以上の英語スキルがあれば尚可。日本語はネイティブであることが望ましい。 Nice to have Experience helping set up new securities entities in Japan, especially for an international organisation Experience negotiating with financial authorities regarding financial licences and registrations Building a global financial super app isn’t enough. 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