MS Excel, Word, PowerPoint, Visio
Yoyogi kaikei (accounting software)
Language
Japanese (Native)
English (Business Level)
Education / Professional Designations
Waseda University, Tokyo Japan
Bachelor of Science (Science and Engineering)
Texas Tech University,Texas,USA
Master of Business Administration
Management Consultant certifedby Japan Productivity Center
Certified Internal Auditor ("CIA")
Work Experience
Sony Corporationokyo, Japan \visual Device Divition, Engineer (1978-1984)
• Developed CRT and held five patents recognized in Japan, USA, and Europe.
• Series of Glassware Design by 3D Infinite Element Methods
• Design and Prototyping New 15 inch Computer Graphic CRT
Yamaichi Financial Services Inc. New York, USA, Director of the Board (1987
- 1995)
• Established the management system to the new financial company for the
financial derivative Trading and Booking.
• Conducted trading and position management
• Designed/ Implemented the WS derivative systems with the newly developed
option theory
• Researched emerging accounting treatments and legal documentations for
financial derivatives transactions
• Established a framework of Risk Management - Market risk and Credit risk.
• Introduced the Advanced Credit Risk Approach - internal ratings and credit
line rules based on statistic default ratios
• Designed, developed, and marketed new financial products – the commodity
linked bonds with major trading corporations. more than 20 billion yen
sales
• Researched, developed, structured and marketed Structured Securities
and Asset Backed Securities
Japan Productivity Center, Tokyo Japan, Senior Management Consultant (1998
- 2001)
• Business consulting
For Whole Company/ top management – Overall diagnosis, selected strategic
area, and strategic initiatives.
For Core Business - Building business strategies and reengineering major
business processes.
For Innovation/ New Products – Organizational Change for Innovation and
Marketing new products.
• Japan Quality Award (JQA) - (Equivalent to Malcolm Baldrige National
Award)
Assessor/instructor - Assessed and educated clients
Who are Clients: Large listed companies, medium companies, local governmental
units (Mie prefecture, Iwate prefecture, Mitaka City, etc.)
JICA Sent to Chile Government to improve the National Quality Award of
Chile
• Lecturer in marketing and management
A lecturer of various marketing seminars
Clients; Seminar by JPC, the Russia-Japanese Center of the Ministry of
Foreign Affairs, Local governments and JPC
Suisse Investment Bank Tokyo, Japan, Internal Audit (2001 - 2008)
• Performed whole audit processes
Performed audit for investment bank unit and bank unit.
Consulting for New Product Introductions
Major findings in Trading, Accounting, Lending business, Compliance,
etc.
• Management of Internal Audit Department
Reviewed mid/short term audit plans
Updates policies and procedures of internal audit
US Major Investment Bank, Tokyo, Japan, Consultant, Compliance (2008 -
2011)
Tested compliance status on various regulatory/products/topics below for
a securities company and an asset management company (Sep2008 - Aug2011)
< For Investment Bank / Securities Company >
• FIEL/ JSDA Regulations
Material Non-Public Information - Investment Banking, Sales
Short Sale Regulations - Equities
Front Running - Equities
Asset Backed Products - Fixed Income
Foreign Securities - Fixed Income, Equities
Underwriting - Capital Market, Syndicate
Market/ Trading Activities - Equities
• Internal Policies
Suitability - Structured Products, Derivatives
Suitability - Private Wealthy Management Sales
Written Communications (E-mails) - Internal, External
Sales Materials - Sales
Information Handling - Research
Introduction Business - Merchant Banking, Sales
Gift and Entertainment - Investment Banking, Sales
• Others
Money Lending Business Law
<For Asset Management Company>
• FIEL/ JSDA Regulations
Cross Trades - Equities, Fixed Income
Reallocations - Equities, Fixed Income
• Internal Policies
Material Non-Public Information - Portfolio Managers
Sales Materials - Sales
Gift and Entertainment - Sales
Hedge Funds Activities
Surveillance Status
US Major Life Insurance company, Tokyo, Japan, consultant, Governance (2011
- 2012)
Establish the framework for the internal rules to be a Japan Life Insurance
KK from a branch of US Life Insurance.
< For Framework and mapping of internal rules >
Organized a list of existing internal rules by adding 1) organization
codes, 2) Owner Rank Codes, 3) Name flags, 4) Mapping Codes, etc.
Drafted seventeen relationship maps of these internal rules such as governance
structures, risk related rules and customer protection related rules.
< For FSA Inspection Manuals and Supervisory Guidelines>
Reconciled all required internal rules in the Inspection Manual to the
existing ones.
Recommended and drafted new key internal rules based on the Inspection
Manual requirements.
< For Implementation >
Reviewed all major internal rules in terms of consistency and requirements
from Inspection Manual.
Followed up required processes such as drafting, English translation,
Legal checks, and negotiation for needed changes etc. for major and other
internal rules for responsible committees and divisions / departments.
US Major Life Insurance company, Tokyo, Japan, consultant, Finance (2012
- 2014)
Establish Balance Sheet Reconciliation Program (April 2012 to current)
< For Framework for the Balance Sheet Reconciliation>
Built the reconciliation organizational structures
Assign all accounts (over 1,500) to owners/ approvers across the company.
Organize policies and procedures.
< For Establishing BS Reconciliation Process>
Intensive review for balances and mapping in BS after introducing PeopleSoft.
Introduced Excel template to reconcile all account balances in BS
Introduced the Japan Web based BS Reconciliation System
< For Implementing BS Reconciliation >
Facilitate whole process of BS Reconciliation.
Review the results of Reconciliation.
Report results to Controllers and US Finance.
Implement improvements, such as system enhancement, preparing new global
system introduction.