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| 部署・役職名 | 「シニア・コンプライアンス・オフィサー」 |
|---|---|
| 職種 | |
| 業種 | |
| 勤務地 | |
| 仕事内容 |
・Provide compliance advice and support to the ongoing operations and future business development in Japan ensuring adherence to the latest rules, regulations, and regulatory expectations. ・Liaise with regulators in Japan, such as the Financial Services Agency of Japan （JFSA）, to ensure compliance with statutory rules and regulations and handle regulatory requests, inquiries, filings/reports, notifications, and onsite examinations. ・Monitor regulatory changes applicable to the Japan business and provide timely advice. ・Review sales and marketing materials, documents and external communication to ensure adherence to applicable statutory rules and regulations and industry best practice. ・Maintain and update Compliance Manual and relevant compliance policies and procedures to ensure business operations and practice are consistent with the latest local regulatory requirements and Group policies. ・Oversee licensing matters, compliance monitoring program and tasks delegated to the Group’s Compliance support teams. ・Provide compliance advice/input on complaints, operational errors, incidents, breaches, and corresponding risk－mitigating actions to prevent re－occurrence. ・Provide compliance advice/input on internal and external due diligence requests, and requests for proposal （RFP）. ・Review Regulatory Reports including Substantial Shareholders Reports. ・Handle requests from internal and external audits. ・Conduct regular risk assessments to identify potential compliance risks and develop strategies to mitigate them. ・Design and deliver compliance training programs to ensure that all employees are aware of their compliance obligations. ・Provide support to the Head of Compliance, Japan to maintain an effective compliance framework and promote a strong compliance culture. ・Participate in local, regional and/or global compliance initiatives, projects and other ad－hoc compliance duties as assigned. |
| 労働条件 | ビル内に喫煙場所あり |
| 応募資格 |
【必須（MUST）】 〇Work Experience / Knowledge:・A minimum of 8 years of relevant experience in the financial services industry, preferably gained through practical experience in regulatory/business compliance in asset management companies and/or regulatory authorities in Japan 〇Skills / Other Personal Attributes Required: ・Extensive knowledge of legal and regulatory requirements applicable to the asset management industry in Japan ・Strong oral and written communication skills in both English and Japanese ・High integrity and excellent work ethics ・Strong problem－solving skills ・Ability to lead and coach team members ・Flexibility, enthusiasm and a willingness to learn and develop new skills and knowledge, and adapt to the growing business needs of the Company 〇Formal Education: ・Degree in Accounting/Finance/Law or related disciplines |
| リモートワーク | 可 「可」と表示されている場合でも、「在宅に限る」「一定期間のみ」など、条件は求人によって異なります |
| 受動喫煙対策 | 屋内禁煙 |
| 更新日 | 2025/06/01 |
| 求人番号 | 4811913 |
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- ・『日経転職版 AGENT AWARDS 2024』【金融部門MVP】を獲得しました！ ・2021年リクルートダイレクトスカウト【(株)リクルート主催:対象期間2021年1月1日～12月31日】 のエージェントランキングで2位(職種別決定人数部門)獲得。
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