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| 部署・役職名 | Chief Compliance Officer （CCO） |
|---|---|
| 職種 | |
| 業種 | |
| 勤務地 | |
| 仕事内容 |
Department:TheComplianceRiskManagement（“CRM”）managesthefirm’scomplianceriskstopreventviolationsoflaw,rule,orregulation,anddesignsanddeliversacomplianceriskmanagementframeworkthatmaintainsrisklevelswithinthefirm'sriskappetiteandprotectsthefranchise.CRMisarisk－baseddepartment,focusedonemergingrisks,andprovidingconstructivechallengetothebusinessandfunctions,partneringcloselywiththemtoimplementstrongprocessesandeffectivecontrols,aswellastobetterfosterandembedacultureofcompliance.CRMmonitorstrendsandchangesinregulationsanddevelopsandimplementsfirmwideanddivisionalpoliciesandprocedures. TheRole:ThispositionwillserveastheHeadofComplianceandCCOforInvestmentManagementcompanyinJapan,whichisregisteredwiththeFinancialServicesAgency（FSA）forTypeIIFinancialInstruments,InvestmentAdvisory,andAgencyandInvestmentManagementbusiness.TheJapanbusinesscoversFixed－IncomeandPrivateCredit.ThisroleisresponsibleforimplementingandoverseeingtheFSAcomplianceprograminJapan,interactingdirectlywiththeFSAregardinglicensingandbusinessactivities,andprovidingongoingcomplianceadvice,counselandoversighttotheregulatedentityanditspersonnel.Thisrolewillneedtooffercrediblechallenge,escalationofissuesandreporting,asappropriate,andworkingcloselywiththeInvestmentsteamstoimplementcontrolsandguidelineswhileensuringcompliancewithglobalandregionalpolicies,proceduresandstandards,law,ruleandregulation.ThisroleentailsworkingcloselyandcollaboratingwithInvestmentsleadership,legal,othercomplianceteamswhilefocusingonstrategicinitiativesandemergingissues. Thisrolewouldbeexpectedtostayabreastofallapplicablelaws,rulesandregulationsensuringtheyarethenincorporatedwithadviceofferedtotheInvestmentsteams.Thisrolewillpartnerwiththefirstlinetodevelopappropriateriskmitigationstrategiesandcontrols,conductingmonitoringandtestingtoensurethatalllocalinvestmentactivitiesandtheemployeesresponsibleforinvestingonbehalfofthecompanycomplywithregulatoryrequirementsandcompanystandards.ThisrolewillworkcollaborativelywithInvestmentsprofessionalandseniormanagersacrosstheglobalandwithotherInvestmentsDepartmentriskcontrolorganizations,includingRiskManagement,Legal,andInternalAudit.ThisroleisacriticalpositiontoensurethatFSArequirementshavebeeneffectivelyimplementedacrosstheCompanyJapanentityandensurethattheappropriategovernanceandcontrolenvironmentisdevelopedtobecomecompliantwithanyfutureregulatorydevelopments. Beingapro－activeComplianceofficerandanticipatingwhereissuesmayariseiscritical,andtheabilitytogetaheadofregulatoryexpectationsiskeytosuccessintherole.Theindividualwillberequiredtomakesoundjudgment－baseddecisionsandanswercomplicatedcompliancerisk－relatedquestions,putappropriatecontrolsinplacetomitigaterisks,andexercisejudgmenttoknowwhenissuesneedtobefurtherescalatedtoseniormanagementforconsiderationanddeliberation. KeyResponsibilities: ・ Manageadvisorycomplianceandassociatedcontrolenvironmentsandstrikethebalancebetweenservingastrustedadvisortothebusinessandencouragingacultureofrobustchallengetothebusiness. ・ Reviewexistingcompliancepoliciesandproceduresandmakeenhancementstostrengthenprocesses,proceduresandpoliciesandstayheadofregulatoryrequirementsandexpectationsunderFSAregulations. ・ Issuespot,analyze,anddimensionthecomplexityofrisksandregulations;handlingcomplexissuesandengagingdirectlywithregulators. ・ Interfacewithseniormanagementtoensureeffectiveawarenessofkeycomplianceriskareasanddevelopandimplementmandatoryandtargetedtrainingonrelevantcomplianceregulationsandprocesses. ・ Develop,executeandmaintainamonitoringandtestingplantoensurethatcontrolsareoperatingasintendedandprepareregularreportingoncomplianceactivities. ・ ConductandadministertheJapanBoardmeetingsandshareholdermeetings. ・ Reviewofmarketingmaterials,pitchbooksandassistinclientonboarding. ・ KnowledgeoflocalAMLrulesandregulations. ・ PrepareandfilerequireddocumentationfortheFSAorotherrelevantexternalauthoritiesonaroutineandad－hocbasis. ・ Overseeday－to－dayadministrationofseveralkeycontrolsincludingportfolioguidelinemonitoring,restrictedissuerlist,giftsandentertainmentreporting,personaltrading,authorizedtraderlists,OFACandlocalsanctionsprograms,regulatoryreporting,marketingmaterialreview,andethicalwalls. ・ Stayabreastofchangesintheregulatoryenvironmentandanalyzethebusinessimpactofregulatorychanges. ・ WorkcollaborativelywithbusinesspartnersandseniorleadersincludingthoseinIT,LegalAffairs,CorporateLicensing,andInternalAudit. ・ Adviseonandprovidecrediblechallengetocompliancewithrelevantlaws,regulations,andcompliancepolicies. ・ Providemeaningfulcompliancereportingtoseniormanagement KeyRelationships: ・ Reportsto:HeadofInternationalInvestmentsCompliancewithamatrixreportingtotheGlobalInvestmentsCCO ・ Directreports/team:one ・ KeyStakeholders:TheCompanyJapanpersonnel;partnersinLegal,Audit,andInvestmentsOperations |
| 労働条件 | 詳細は面談の時にお伝えします |
| 応募資格 |
【必須（MUST）】 Essential Business Experience and Technical Skills:・15＋ years relevant and suitable Compliance experience gain with an FSA registered investment management firm ・Extensive knowledge of rules and regulations applicable to Japan’s investment activities in Japan ・Demonstrated ability to assess risk and communicate results to board level senior management. ・Demonstrated ability to analyze risks and controls, determining when controls are not operating effectively and act accordingly. ・Excellent oral communication skills, including ability to communicate with all levels of management. ・Demonstrated ability to translate and communicate requirements in ley persons terms, enabling business partners to better understand requirements, working together toward implementation of solutions. ・Dedicated, self－motivated with an ability to work independently as well as being a team player |
| 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 | 2024/12/13 |
| 求人番号 | 4158508 |
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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