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 Assurance Specialist. This pivotal position will focus on ensuring the accuracy and compliance of our global and local KYC/AML processes, guaranteeing that our commitment to regulatory standards and client satisfaction remains unparalleled.
Job Objectives
As a Quality Assurance Specialist, you will be responsible for developing local quality standards, conducting tests to ensure adherence to these standards, identifying issues in Saxo Banks ONB and ODD processes, and collaborating with stakeholders to create policies and processes aimed at achieving a zero-defect quality culture.
Job Description
- Perform routine inspections and quality tests in line with AML policies and departmental procedures within set timeframes.
- Produce reports containing quality assurance results and associated metrics using established procedures.
- Maintain up-to-date knowledge of relevant regulations, business changes, internal regulatory policy and procedural changes.
- Identify quality gaps and communicate these to appropriate management and business owners.
- Analyze gathered information to develop recommendations for policy and procedure improvements to ensure continued compliance with Saxo Banks AML Policy and regulations.
- Act as a local ambassador between JPN, India, and Denmark, aligning local market practices with Danish regulations and expectations.
- Work closely with ONB, ODD and Business to provide support and guidance in AML Matters.
- Provide training, guidance, and support to KYC Analysts and Quality Controllers in relation to day-to-day ONB and ODD operations.
- Facilitate regular training sessions, workshops, and one-on-one coaching to enhance the Global & JPN AML and Business proficiency and adherence to AML regulatory requirements.
- Act as a point of contact for any queries or issues related to ONB and ODD processes and work collaboratively to resolve challenges.
- Ensure all team activities comply with Saxo Banks AML Policy and applicable regulations.
- Assist in preparing and potentially participate in Client Acceptance Committees for high-risk accounts.
- Provide comprehensive support to the Line Manager, ensuring smooth departmental operations.
- Embrace and role model the seven virtues and rules of engagement as outlined in the Saxo Bank Corporate Statement.
- Raise a voice when finding uncertain points and ensure understanding.
- Raise issues immediately and do not delay until complications arise.
Requirements
- A bachelor's degree or ten years of relevant work experience is acceptable as a minimum qualification.
- Expertise and knowledge on internal policies, procedures including related tools.
- Deep understanding and experience in both private and corporate business worlds.
- 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.
