Quality Control - Japan

Introduction:

We are delighted to announce an exciting opportunity to join Saxo Bank Securities Ltd, Japan, a licensed subsidiary of Saxo Bank A/S operating in Japan since 2007. As a globally recognized leader in multi-asset trading and brokerage services, Saxo Bank provides access to over 40,000 instruments worldwide, empowering individual and institutional clients to navigate global markets seamlessly.

We are seeking talented professionals to fill the role of Quality Control Specialist. This pivotal position will focus on ensuring the accuracy and compliance of our KYC/AML processes, guaranteeing that our commitment to regulatory standards and client satisfaction remains unparalleled.

Who We Are Looking For?

We are looking for individuals with a keen eye for detail, a proactive approach to problem-solving, and a strong understanding of KYC/AML processes and regulatory compliance. If you are passionate about quality assurance and thrive in a dynamic and collaborative environment, we encourage you to apply.

Job Objective

Ensure the accuracy and compliance of KYC/AML processes by conducting systematic quality checks, identifying and rectifying discrepancies, and collaborating with relevant teams to enhance process efficiency and client experience. Stay informed on regulatory changes and industry standards to maintain alignment and continuous improvement.

Job Description

• Conduct thorough and systematic quality checks on KYC/AML processes and documentation to ensure accuracy and compliance with regulatory requirements.
• Identify discrepancies, errors, or gaps in KYC/AML records and provide detailed feedback to the relevant teams for remediation.
• Collaborate with compliance officers and AML/KYC analysts to address and resolve quality issues and enhance process efficiency.
• Maintain comprehensive documentation of quality check findings and prepare detailed reports for management review.
• Stay updated on regulatory changes and industry best practices related to KYC/AML processes to ensure alignment with evolving standards.
• To identify and escalate potential areas for process improvement and system automation with focus on enhancing the client experience;
• To process the incoming clients applications in accordance with the KYC business procedures, and in line with the Global Minimum KYC Standards and Saxo Group’s Risk Appetite;
• To work with key internal stakeholders within the Global Onboarding & KYC teams;
• To be able to work independently after appropriate training has been provided;
• To interact and cooperate with other relevant departments to ensure compliance, operational efficiency, proper business procedures and client focus;
• To ensure effective mentorship and to share experience with more junior staff;
• To cross-train for different geographies (if required);
• To have SME level knowledge of locally important regulatory requirements and background legislation;
• To identify potential improvements to onboarding process flows and procedures, and come with improvement suggestions and be involved in the implementation of those together with other Saxo units, such as IT, Commercial teams and Compliance;
• To continuously update the governing procedures and work instructions in line with updated Global Minimum KYC Requirements, Compliance and Legal;
• To collect and analyze information in order to evidence the need for change;
• To adhere to complete all mandatory trainings within due time and follow all other policies as required without chaser and follow up;
• To promote at all times the interests of Saxo Group;
• To consistently achieve results;
• To comply with all applicable guidelines and instructions laid down by the Management pertaining to the work of a Quality Controller
• To comply with Saxo Group’s prevailing Security Policy and Business Procedures;
• To comply with the procedures, guidelines and work instructions in force at all times
• To be able to work independently.
• To share experience, know/how and best practices with new employees and other relevant teams in the Saxo Group.
• To take ownership of the implementation of new features and incorporation of new rules and regulations of the team’s working processes;
• To embrace and role model the seven virtues and the rules of engagement as outlined in the Saxo Bank Corporate Statement.
• To reach or exceed the Key Objectives agreed with your leader;
• Provide comprehensive support to the Line Manager, including ad hoc tasks, ensuring smooth and efficient departmental operations.
• Raise a voice when finding uncertain points and make sure to understand the points
• Raise an issue immediately and do not hold it until the issue become complicated

Requirements

• A bachelor's degree or ten years of relevant work experience is acceptable as a minimum qualification for the role.
• Expertise and knowledge on internal policies, procedures including related tools
• Deep understanding and experience in both the private and corporate business worlds is essential for success in a particular role or field
• Proficiency in reading and writing Japanese is considered beneficial.
• A thorough understanding of local banking and financial regulatory frameworks within the local jurisdiction is essential.

We get curious people invested in the world

When you work at Saxo, you become a Saxonian and part of a purpose-driven organisation, where good ideas are always taken seriously, and where you can make a true impact. We are invested in your development, and you can expect a robust career from day one when you join Saxo – no matter which role you take on.

You will join 2,500 other ambitious colleagues across 15 countries and become part of an international organisation. Working in Saxo, you will get to meet colleagues from many different cultures and backgrounds, and you should know that we value diversity and inclusion and see it as a genuine source of strength to drive growth, foster innovation and position us for long-term success.

We encourage an open feedback culture and supportive team environments enabling employees to grow and fulfil their career aspirations.

When you bring passion, curiosity, drive and team spirit, your learning journey will be dynamic and your career opportunities in Saxo will be immense.

At Saxo we don’t just offer a job – we offer an opportunity to invest in your future!

How to apply :

Click here to create an account and upload your resume and a short motivation. We look forward to getting to know you better!

Welcome to Saxo Bank

About Saxo Bank

Support our purpose

We believe access to global capital markets is not only for the privileged few. Our vision is to enable people to fulfill their financial aspirations to make an impact. That’s why we use the power of technology to deliver clients what they need, when they need it in a user-friendly and personalised experience. We aim to deliver the world’s most user-friendly and personalized trading and investment platform experience, which gives our clients exactly what they need to make more informed investment decisions.

Be part of a unique journey

Do you want to work for an extremely ambitious organisation at the cutting edge of banking and technology? You’ll be joining a company that:

. Continuously strives to improve the Saxo Experience and exceed our clients’ expectations.

. Always invests in the future

. Builds unrivalled platforms for seasoned and experienced investors and wholesale clients that provide real-time access to global capital markets.

. Consistently wins the highest accolades for our platforms, products and services.

Own your future

So, if you’re up for the challenge of breaking down barriers in global financial markets, we’re always looking for ambitious and enthusiastic people who share our passion for clients, technology and innovation and can bring new perspectives to our diverse team.

For more on our story, culture and identity, please read the Saxo Bank Foundation, written by our CEO and founder Kim Fournais.

More about Saxo Bank