Professional, Client Asset Segregation (ORRC) : Job Level - Associate

Japan Operations Risk and Regulatory Control (ORRC) team is responsible for Disclosure of Interest, Client Asset Segregation and Transaction Reporting. Our goal is to ensure the establishment of effective industry leading controls through structured risk identification and the proactive review of global Operations processes. ORRC performs complex, multi-product regulatory reporting and ensures the appropriate guardianship of client assets. The team is also an interface between Operations, Regulators, internal and external Auditors, and Legal and Compliance.

Client Asset Segregation (CAS) team is responsible for monitoring and processing daily client asset segregation as well as preparing regulatory reports related to client asset segregation and submitting them to regulators. In addition, team will be responsible for monitoring and executing Audit confirmation requests and also will be collaborating with internal teams and external auditors on Client Asset Segregation audits.

• Monitor and process daily Client Asset Segregation process
• Understand the regulatory requirements of Regulatory Reports related to Client Asset Segregation
• Prepare Regulatory Reports related to Client Asset Segregation and submit them to the regulators
• Investigate and resolve the exceptions in the process, and identify the correct position and transactions done by the firm
• Create and update the procedure manuals and other documentations
• Escalate and mitigate risks associated with Client Asset Segregation processes
• Understand the Governance of Client Asset Segregation, and ensure the processes and reports are in compliant with the Japan regulation as well as Firm's policy and procedure
• Identify areas for process improvement and implement effective control while achieving efficiency and optimization
• Monitor and execute Audit Confirmation requests
• Collaborate with internal teams and external auditors on Client Asset Segregation audit
• Be a self-starter with positive working attitude
• Contribute as a team
• Have effective communication skills and interact inclusively
• Identify problems as they arise and know when they need to be escalated
• Be adaptable to changes and new challenges
• Be keen to learn new skills and do so quickly
• Have proficiency with English and Japanese - Fluent in written and spoken communications
• Have proficiency with Microsoft Office (Excel, Word, and PowerPoint)

• Have knowledge of Japan regulatory reporting
• Have experience in technology related project
• Have middle or back office experience