Head of Advisory Compliance, Japan

Job Description

Purpose of the role

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. 

Accountabilities

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
• Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
• Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
• Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

Director Expectations

• To manage a business function, providing significant input to function wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide..
• They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
• Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
• Escalates breaches of policies / procedure appropriately.
• Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
• Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
• Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
• Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
• Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
• Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
• Negotiate with and influence stakeholders at a senior level both internally and externally.
• Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
• Mandated as a spokesperson for the function and business division.

All Senior Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.

Role Purpose

The Head of Advisory Compliance, Japan is responsible for the overall leadership, strategy and effectiveness of the Advisory Compliance function in Japan, covering both Public Side and Private Side businesses.

The role provides strategic compliance advice and guidance to senior business stakeholders, ensures consistent interpretation and application of regulatory requirements, and oversees the delivery of effective compliance support to the businesses. The individual is responsible for the overall Advisory Compliance framework and strategy in Japan, ensuring that compliance support is delivered consistently, effectively and in alignment with the firm's risk appetite, regulatory obligations and strategic objectives.

As a member of the Japan Compliance Leadership Team, the role holder is expected to help shape the direction and success of both Japan Compliance and the wider Japan franchise. Success in this role requires a strong "One Compliance" mindset, a broad enterprise perspective, and a commitment to building strong partnerships across businesses, control functions and stakeholders to support the long-term success, resilience and reputation of Barclays in Japan.

The role holder is expected to exercise leadership in a manner that advances not only the objectives of the Advisory Compliance function, but also those of Japan Compliance and the wider Japan franchise. The successful candidate will demonstrate sound judgement, ownership and a willingness to contribute wherever their experience and leadership can add value.

Key Accountabilities

Business Advisory and Enablement

• Lead the provision of practical, commercial and risk-based compliance advice across Public Side and Private Side businesses in Japan.
• Partner with business leaders to support strategic initiatives, business growth, transactions, new products and organisational changes while ensuring compliance with applicable regulatory requirements.
• Exercise sound judgement in balancing business objectives with regulatory obligations, supporting sustainable business growth within the firm's risk appetite.
• Promote a solutions-oriented approach that enables business activity while maintaining appropriate regulatory and conduct standards.

Ownership, Risk Management and Governance

• Take ownership of significant compliance matters and drive issues to timely and effective resolution.
• Identify, assess, escalate and manage compliance and regulatory risks impacting the business and the Japan franchise.
• Lead Compliance engagement in regulatory reviews, inspections, enquiries and remediation activities.
• Ensure appropriate governance, escalation and reporting of material compliance issues and risks.

Leadership and Franchise Contribution

• Contribute to the leadership, strategic direction and effectiveness of Japan Compliance as a member of the Japan Compliance Leadership Team.
• Support broader franchise priorities by taking a holistic view of risks, opportunities and issues affecting Barclays Japan.
• Build strong partnerships across businesses, infrastructure functions and control functions to support effective decision-making and execution.
• Foster a culture of collaboration, accountability and shared ownership, promoting outcomes that are in the best interests of Barclays, Japan Compliance and the Japan franchise.

People Leadership

• Lead, develop and mentor a high-performing Advisory Compliance team.
• Set clear expectations regarding ownership, judgement, accountability and client-focused advisory support.
• Promote professional development, knowledge sharing and continuous improvement.
• Ensure the team has the capability, capacity and mindset required to support evolving business and regulatory needs.

Risk and Control Objective

Ensure that all activities and responsibilities are carried out in full compliance with applicable laws, regulations, Barclays policies, standards and the Enterprise Risk Management Framework.

Essential Skills and Experience

• Significant Compliance experience within the financial services industry.
• Strong knowledge of Japanese regulatory requirements and market practices.
• Extensive experience providing Compliance Advisory support to front-office businesses.
• Demonstrated ability to engage, influence and constructively challenge senior stakeholders.
• Strong leadership and people management experience.
• Excellent written and verbal communication skills in both English and Japanese.
• Sound judgement and the ability to balance regulatory requirements with commercial objectives.
• Strong personal accountability, decision-making and stakeholder management skills.

Preferred Experience

• Experience supporting both Public Side and Private Side businesses.
• Experience engaging with Japanese regulatory authorities, including the FSA and relevant exchanges.
• Experience leading regulatory change, remediation or transformation initiatives.

Experience operating within a global matrix organisation.