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Head of Compliance, RBC BlueBay Japan

Royal Bank of Canada Tokyo, Japan
Posted 16 days ago Permanent Competitive
Head of Compliance, RBC BlueBay Japan
Job Summary

Oversees day-to-day operations of the corporation's comprehensive compliance function and ensures consistency in approach to and compliance with internal business process rules and external regulations. Manages activities through senior managers and managers and implements corporate and divisional strategic plans and budgets.

Job Description

What is the opportunity?

As the Head of Compliance, RBC BlueBay Japan, you will be responsible for managing RBC BlueBay's Compliance strategy and framework in Japan.

What will you do?
  • Implementation, oversight and continual refinement of RBC BlueBay's compliance strategy and program for Japan, including efficient and effective Japanese-English, English-Japanese communication.
  • Maintain and enhance a close working relationship with all teams in Tokyo office, dealing with ad hoc advisory queries ensuring regulatory risks are managed within acceptable limits.
  • Communicate effectively with all areas of the broader business both regionally and globally, particularly with relevant London based teams to ensure any compliance issues are brought to an acceptable resolution.
  • Proactively provide advice to the business on regulatory requirements and their practical implementation.
  • Provide timely and accurate reports to senior management on compliance issues or concerns requiring their attention.
  • Liaise with senior management with regards to new initiatives or business development matters, providing input on the regulation associated with new products and strategic initiatives.
  • Conduct risk-based compliance monitoring reviews of the adequacy of control processes. Ensuring that issues identified by compliance monitoring reviews are addressed and any necessary controls are implemented.
  • Working with Compliance Testing team as well as Internal Audit in the scoping, execution and finalisation of Testing reviews/Audit Reviews of the RBC BlueBay business.
  • Training the business on core regulatory obligations.
  • Review and monitor business activities to ensure compliance with the law and regulations in Japan.
  • Reviewing and monitoring changes in regulations and laws, ensuring communication of relevant changes to the business.
  • Maintaining relevant Compliance Policies and Manuals to reflect changing business activities and regulations in Japan.

What do you need to succeed?

  • Minimum of 10 years' experience in Asset Management Compliance.
  • Minimum of 1 year managing others in a regulatory role in financial services.
  • Fluent in both Japanese and English.
  • Acts as a role model for collaboration, sharing information and rewarding teamwork. Displays enthusiasm, credibility and determination.
  • Leads by example and displays excellent leadership by demonstrating clear direction both within team & function.
  • Experience in managing strategic business and regulatory projects as a Compliance lead.
  • Ability to maintain an open relationship with stakeholders on all levels, including regulators.
  • Excellent influencing skills and strong ability to communicate effectively with senior management, providing direction and challenge where required.
  • Excellent problem-solving skills and consistently displays evidence of lateral thinking when solving problems.
  • Excellent planning, organisational skills and attention to detail.
  • Ability to work under pressure and meet tight deadlines, consistently delivering within agreed deadlines.
  • Ability to grasp new ideas and concepts quickly and use them effectively.

What's in it for you?

We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
  • Leaders who support your development through coaching and managing opportunities
  • Work in a dynamic, collaborative, progressive and high-performing team
  • A world-class training program in financial services
  • Ability to make a difference and lasting impact.

Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details




Minato City



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Employment Type:

Full time


Wealth Management

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I nclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.

We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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Job ID  R-0000092488
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