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Compliance

年収:900万 ~ 1500万

ヘッドハンター案件

部署・役職名 Compliance
職種
業種
勤務地
仕事内容 ・Assist the Compliance Officer on day-to-day compliance and internal control
tasks.
・Responsible for maintaining local licensing and providing management with
regulatory updates and industry best practices.
・Ensure that the relevant XXX maintain and follow industry-leading compliance standards and local regulations.
・Review marketing materials and RFPs to ensure internal and regulatory
requirements are met (e.g. customised materials, local advertisement, public
website etc.).
・Conduct KYC check according to global practices and regulations in Japan.
・Conduct on-going Compliance training to the relevant XXX (including new hire and annual compliance training, ad-hoc training on regulatory development etc).
・Code of Ethics administration (e.g. review and approve gift and entertainment, personal trading transaction, outside employment etc.).
・Develop, maintain and administer the local policies and procedures.
・Together with the Compliance Officer, devise and execute an approach to
implementing global policies locally (e.g. sanctions policy, Volcker Rule policy
and data protection policy etc.).
・Provide advice to the local trust fund launch, prepare regulatory reports and
conduct compliance check on the local funds as necessary.
・Support Compliance Officer on regulatory interface with Japan FSA including
but not limited to preparation and management of audits and regulatory
inspections and handling of regulatory enquiries etc.
応募資格

【必須(MUST)】

・University degree or above;
・Basic knowledge of Japanese asset management regulations is an essential
component of the role; while some knowledge of one or more major asset
management regulatory jurisdictions (USA, UK, EU) would be an advantage;
・Experience to work as an advisory Compliance for Institutional Business of asset
management industry would be an advantage;
・Good relationship with JFSA, other compliance professionals and advisers
would be an advantage;
・Business level of English


【歓迎(WANT)】

・A minimum of 5 years’ working experience in a compliance role with asset
managers;
・Good understanding of the key asset classes, investment strategies and delivery vehicles (local trust funds and separate accounts) would be an advantage;

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更新日 2022/08/15
求人番号 2201732

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