- overseeing and monitoring the implementation of the compliance program
- reporting on a regular basis to the Management / Stake holders on the progress of implementation, and assisting these components in establishing methods to improve efficiency and quality of services, and to reduce the vulnerability to fraud,
- periodically revising the program in light of changes in the needs of the Account, and in the law and policies and procedures of Contract / Agreement
- developing, coordinating, and participating in educational and training program that focuses on the elements of the compliance program, and seeks to ensure that all appropriate employees and management are knowledgeable of, and comply with the required standards
- coordinating internal compliance review and monitoring activities, including periodic reviews of all audit reports
１）implementing written policies, procedures, and standards
- establishing a compliance committee
- developing effective lines of communication
- enforcing standards through well publicized disciplinary guidelines and developing policies
- conducting periodic risk assessments and response plans
- conducting internal monitoring and auditing
- responding promptly to detected offenses, developing corrective action, and reporting findings to the government via established channels
- Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.
- Develops and periodically reviews and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
- Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
- Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
- Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future. Risks should be identified, assessed and monitored on an ongoing firm-wide and individual entity basis;
- Provides reports on a regular basis, and as directed or requested, to keep the Account Stake holders and senior management informed of the operation and progress of compliance efforts.
- Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
- Institutes and maintains an effective compliance communication program for the Account, including promoting (a) heightened awareness of Standards of Conduct, and (b) understanding of new and existing compliance issues and related policies and procedures.
- Develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
- Monitors the performance of the Compliance Program and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness.
- Ensure technical specifications meet the stated needs of the business
- Participate in local and global discussions to formulate new or enhance existing security processes, policies and standards.
- An internal controls system which is effective in design and operation should be in place
- Language requirement
- English (Fluent), Japanese (Business)