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| 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 assetmanagers; ・Good understanding of the key asset classes, investment strategies and delivery vehicles （local trust funds and separate accounts） would be an advantage; |
| 受動喫煙対策 | その他 「就業場所が屋外である」、「就業場所によって対策内容が異なる」、「対策内容は採用時までに通知する」 などの場合がその他となります。面接時に詳しい内容をご確認ください |
| 更新日 | 2022/08/15 |
| 求人番号 | 2201732 |
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転職・求人情報の詳細をご覧になる場合は会員登録（無料）が必要です