Wholesales KYC Operations - Quality Control Associate

Wholesales KYC Operation Quality Control (WKO QC)

Wholesales KYC Operation Quality Control (WKO QC) plays a critical role in ensuring that as an organization, we are compliant with multiple regulations, in order to protect the bank's reputation and financial assets.

As an Quality Control Associate within Wholesales KYC Operations in Japan, you will be responsible for managing the full compliance of Japan local regulation for New Onboarding, Renewals and Mid cycles. The Associate will be required to facilitate the review and calibrations with stakeholders.

Job Responsibilities

• Review Japan local regulatory requirements to ensure full compliance across all processes.
• Proactively address and resolve QA findings, implementing corrective actions as needed.
• Manage and coordinate internal and external audits, as well as regulatory examinations, including preparation, response, and follow-up activities.
• Liaise with relevant stakeholders to ensure audit readiness and maintain robust compliance standards.

Required qualifications, capabilities, and skills

• A working knowledge of KYC/Compliance/AML procedures and standards
• Knowledge of multiple client types (i.e. Corporates, SPV, Trust, F.I.'s. etc.)
• Knowledge of financial industry with in-depth expertise in various lines of business (Corporate Investment Bank and heritage lines of business)
• Strong verbal and written communication skills in both Japanese and English
• Strong time management, organizational, relationship building skills
• Quality client focus, strong controls mind-set and strong customer service skills(e.g. oral and written communication skills)
• Prior experience of adhering to controls and compliance standards
• Ability to grasp/learn concepts and procedures quickly
• B.S. Degree or equivalent

Preferred qualifications, capabilities, and skills

• Knowledge of KYC & Client onboarding is preferred with at least 2-4 years' experience
• Experience in Audit, Control, Risk, AML, and Research