Job Description

Requisition ID: 238747

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose

Leads and oversees Scotia Securities Asia Limited in Japan as CAO including GWO, Finance, Administration, Facility Management, BCP, HR* and IT*,  ensuring business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies and procedures.
*Work closely with APAC as a liaison

Accountabilities

Overall

• Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Actively pursues effective and efficient operations of his/her respective areas in accordance with Scotiabank’s Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk. 
• Champions a high performance environment and contributes to an inclusive work environment. 
• Leading by example, develop a customer-focused, high performance culture that continually strives to provide timely, proactive and pragmatic stakeholder support that is consistent with the Bank’s risk culture and the relevant risk appetite statement and limits.
• Creates an environment in which his team pursues effective and efficient operations of his respective areas,  while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls that satisfy regulatory and internal obligations with respect to management of operational risk, regulatory compliance risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework and the Code of Conduct.
• Report on compliance and regulatory issues of his respective areas to Japan Compliance, SSAL Tokyo Branch Management, APAC Management, the Board of Directors of SSAL timely and precisely as appropriate.
• Builds a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vision/values/business strategy and managing succession and development planning for the team. 
• Appointed Regulatory Role: The incumbent is holding an Appointed Regulatory Role in Japan in which the Bank operates, the incumbent will be responsible for the conduct for their regulated activities, as well as the oversight and governance of the applicable regulated business.

GWO

• Act as the central focal point for the management of GWO of SSAL Tokyo Branch.

• Responsible for operations relating to capital markets activities through the functions of Middle Office implementing operational control policies and procedures, trade support and customer service/client relationship management.

• Responsible for managing other operational activities for SSAL, such as Onboarding Liaison and ensure requirements under local KYC laws/regulations and Scotia policies are met

• Responsible for making and updating “Standard Operating Manual” (SOP) of GWO including Onboarding Liaison.

• Act as the liaison between SSAL Tokyo Branch and Kanto Financial Bureau (“KFB”) and other relevant regulatory authorities and self-regulatory organizations such as the Japan Securities Dealers Association (“JSDA”) for GWO matters, including managing onsite examinations and offsite monitoring conducted by them as well as handling of any ad-hoc queries/surveys received by co-working with Japan Compliance.

• Responsible for interacting with stakeholders offshore to share local expectations, regulatory requirements, local policies, procedures, new initiatives and organization.

• Responsible for handling Global / APAC requirements related in GWO.

• Act as Internal Control Manager who is registered with JSDA.

Finance

• Act as the central focal point for the management of Finance of SSAL Tokyo Branch.

• Responsible for managing Financials, MIS, Regulatory Reporting and Tax filing of the office on shore.

• Responsible for handling Global / APAC requirements related to Finance.

• Responsible for making and updating “Standard Operating Manual” (SOP) in Finance area

• Act as the liaison between SSAL Tokyo Branch and Kanto Financial Bureau (“KFB”), National Tax Authority (“NTA”), other relevant regulatory authorities and self-regulatory organizations such as the Japan Securities Dealers Association (“JSDA”), for Finance/Tax matters including managing onsite examinations and offsite monitoring conducted by them as well as handling of any ad-hoc queries/surveys received by co-working with Japan Compliance.

• Responsible for interacting with stakeholders offshore to share local expectations, regulatory requirements, local policies, procedures, new initiatives and organization.

• Responsible for handling Global / APAC requirements related in Finance.

Administration, Facility Management, BCP

• Responsible for managing “Third Party Risk Management” (TPRM) in Japan

• Responsible for managing “Business Continuity Plan” (BCP) in Japan

• Coordinate and oversee the management of the day-to-day running of SSAL’s infrastructure area, which may include but not limited to covering activities such as office facility management, equipment/supply procurement, and monitoring budgets for infrastructure cost areas.  

• Act as the Personal Information Protection Manager in respect of Japan local Privacy Law (“PIPA”), to establish security measures to enable SSAL Tokyo to comply with the PIPA and internal policies, by co-working with Personal Information Protection Officers who are department heads of SSAL Tokyo.

HR and IT

• Responsible for supporting Human Resources and Information Technology activities onshore as a liaison to APAC, 
  • Work closely with APAC HR when implementing new programs and policies
  • Work closely with APAC IT&S function when implementing new programs, policies, and controls

Education / Experience

• University bachelor’s degree
• Minimum of 10 years of branch managerial operations experience, with preference to Financial Services or Wholesale Banking sector
• Proven ability to work in an independent setting and demonstrates strong organizational and time-management skills
• Strong interpersonal skills when interacting with both internal relationships and external clients
• Strong communication skills required in both English and Japanese
• Knowledge of Microsoft systems: Word, Excel and PowerPoint
• Previous experience in a Support Staff position preferred
• Has passed JSDA’s Internal Control Manager qualification exam.

Location(s):  Japan : Kant? : Tokyo 

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.  

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here . Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.

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