Hiroko Fukui

Portfolio since Aug 2025 ・ Supported the preparation of compliance training materials, ensuring alignment with regulatory frameworks. ・ Provided Southeast Asia marketing initiatives, including operational and logistical support. ・ Conducted contract reviews and document checks to ensure accuracy and clarity. ・ Contributed to AI-assisted post-editing and translation quality enhancement projects. ・　A consulting project for a business company, focusing on legal and accounting perspectives. ・　Developed internal company procedures for a regional company and alignment with the parent company’s policies. ・　Contract review ----------- Leveraging over 20 years of experience in compliance and contract review at foreign-affiliated financial institutions, I am currently working as a freelance GRC consultant. I provide remote, practical support tailored to the needs of GRC departments, development of internal policies, and fraud prevention measures. My services are client-focused and hands-on, supporting a wide range of clients.

Compliance Risk Management Team, Compliance Risk Governance Group (January 2024 – October 2024) ・Job title: Assistant Manager ・Led Compliance Testing and Monitoring ・Reduced and simplify BAU (Business as usual) Advisory and Oversight Team, Non Sales Practice Risk Oversight Group (January 2022 – December 2023) ・Job title: Assistant Manager ・Led policies and procedures (“procedures”) revisions: - Streamlined procedures on bribery and corruption etc., reducing 8 rules to 3 after analysis. - Introduced corporate procedures developed by the U.S. headquarters, including anti-financial crime, document retention, and electronic communication. ・ System-related operations: - Developed operational procedures within the compliance department during the introduction of a new system for external vendor management. ・ Coordinated with the U.S. headquarters to resolve issues with the new system related to conflict-of-interest declarations. ・ Conduct compliance check on outside business activities. Compliance Investigation Group (March 2019 – December 2021) ・Job title: Assistant Manager ・Led procedures organization and management: - Reduced primary procedures from 84 to 14 (approx. 80% reduction). Simplified and streamlined procedures revisions, mapping, and management frameworks. ・ Supported U.S. headquarters initiatives: - Rolled out regulatory change management developed by the U.S. headquarters to 9 Asian countries and led gap analysis efforts. ・ Improved efficiency and team management: - Supervised four staff members handling misconduct reporting, achieving process improvements that reduced 140 hours of work time for one temporary employee. - Implemented robotics to further reduce work time by 90 hours. ・ Misconduct investigations: Investigated cases involving false statements etc.

Internal Audit Department (April 2017 – January 2019) ・ Job title: Senior Auditor ・ Senior Auditor in Internal Audit Department (April 2017 - January 2019): - Verified results of improvements to system defects related to company integration. - Developed and executed audit plans and reports for headquarters and local departments. Product Management Department（July 2012-March 2017） ・ Job title: Compliance Analysist ・ Reviewed external documents such as brochures, provisions and disclosures etc. ・ Established frameworks to confirm copyrights and prevent unauthorized brochures. ・ Led annual projects to create and review school insurance solicitation documents. Legal Department (August 2009 - June 2012) ・ Job title: Compliance Analysist ・ Reviewed contracts (monthly average of 50+ cases), handled litigation, bankruptcy cases, trademark registration, and copyright-related matters. ・ Managed regulatory inspections, coordinated responses with the U.S. headquarters, and conducted anti-money laundering operations.

・ Job title: Senior Associate in Legal & Compliance Department ・ Follow up company-wide self inspection, in line with FSA insurance inspection manual. ・ Secretariat for FSA inspection from October 2008 to January 2009 and take actions on findings. *Resigned due to company request affected by Lehman Shock.

・ Contingent staff: November 2004 – March 2005, Contract staff: April 2005 – March 2008 in Compliance Department ・ Project of Act on the Protection of Personal Information - Established the Procedure of Privacy Information Protection handling and the Outsourcing management. - Revised the Procedure, conduct regular self-check and training materials. ・ Compliance check for solicitation materials. ・ Monthly follow up status for audit findings and SOX finding. ・ Compliance program management.