BNY Mellon Careers

Compliance Officer, Vice President

Tokyo, Japan

Job Description

Compliance Officer, Vice President

  • Implements government and public affairs policies by interpreting new regulations and laws, keeping management informed, recommending strategies. Manages staff, achieves operational objectives, prepares budget and controls expenses. Interprets new regulations and laws, develops action plans, and recommends public policy strategies.
  • Communicating with Regulators (FSA/MOF/BOJ etc) which supervise The Bank of New York Mellon entities in Japan
  • Compliance Risk Assessment including AML Risk Assessment
  • Making annual Compliance Program and annual Compliance Action Plan and implementing them
  • Compliance Monitoring based on annual Compliance Action Plan
  • AML Surveillance and Administrating the process of compliance with Economic Sanctions
  • Monitoring Personal Security Trading of an employee
  • Applying for necessary license/approval from the regulators and Notification any items to required to them
  • Secretary job for bi-monthly internal Committees
  • Administrating the process of risk assessment for new products/services/activities
  • Providing Compliance Training for BNYM staff and management
  • Compliance consulting and advisory for BNYM staff and management
  • Creating and reviewing local internal rules and procedures.
  • Supporting Head of Compliance Tokyo


Minimum Education : Bachelor or Master's Degree or Professional Qualification

Minimum Experience: 7-8 years

Minimum Language Skills : Native Japanese and fluent English


For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:

Risk and Compliance provide risk and compliance services across all BNY Mellon businesses. Organizationally, Risk and Compliance includes the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. Risk Management oversees and delivers risk services and ensures new business risks are reviewed and approved. Risk Management is organized through Chief Risk Offices for each core business and critical operation. Risk managers provide shared support to BNY Mellon for operational risk services for Global Corporate Trust, Depositary Receipts, Treasury Services and Global Operations in EMEA. Compliance helps ensure BNY Mellon's businesses maintain appropriate processes to comply with applicable laws, regulations, BNY Mellon policies and ethics. This is accomplished through business- and business partner-specific teams of professionals, under centralized global management.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: Japan-Tokyo-To-Tokyo
Job: Compliance
Internal Jobcode: 51936
Organization: Compliance & Ethics-HR06015
Requisition Number: 1707435