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【Compliance】 Officer/ Senior Officer
年収：800万 ～ 1000万
採用企業案件
サクソバンク証券株式会社
-
- 資本金890百万円
- 会社規模非公開
- その他
| 部署・役職名 | 【Compliance】 Officer/ Senior Officer |
|---|---|
| 職種 | |
| 業種 | |
| 勤務地 | |
| 仕事内容 |
【About us】 Saxo Bank Securities Ltd, Japan (“SBS”) is a licensed subsidiary of Saxo Bank A/S in Denmark and has operated in Japan since 2007. We provide access to global markets for our local customers and serve as a gateway to Japan markets for our global customers. Saxo enables individual and institutional clients to trade more than 40,000 instruments globally from one single margin account and provides institutional clients such as banks and fintech with Open Banking solutions from multi-asset execution, prime brokerage services to trading technologies. Saxo‘s multi-asset platform provides access to trade across FX, FX Options, Futures, Stock Options, Stocks, Bonds, CFD’s, Indices, etc. Our clients include Banks & Brokers, Fund Managers, Private Banks, Corporates, Investment Managers and Family Offices, HNW and retail clients. 【About the Role】 The Internal Control & Compliance Department is primarily responsible for compliance matters for Saxo Bank Securities Ltd. (“SBS”), including management of both internal and external risks and ensure that SBS operates to high standards of legal and regulatory compliance and in accordance with SBS’s policies and procedures. The successful candidate will report to the Head of Compliance who is based in Japan for compliance matters and legal matters. 【Responsibilities】 ▪️To provide commercially-minded compliance support and advice on a broad range of matters (commercial, financial, regulatory, corporate, IP, IT, data protection etc.) to ensure business activities are conducted in line with applicable laws, regulations and internal policies. ▪️To attend to day-to-day legal tasks. Such tasks could include some reviewing and drafting of agreements, maintaining up-to-date policies and templates, preparing board documents and facilitating board meetings in Japan, handling ad-hoc queries from regulators and auditors, preparing legal documents and assessing legal and regulatory requirements with new and upcoming law and risks with respect to new business initiatives and projects ▪️To advise on compliance-related issues relating to licensing, AML and Know-Your-Customer, product development etc. ▪️Assist in reviewing promotional, marketing and advertising materials, including website. ▪️To plan and execute compliance and AML controls, monitoring and surveillance ▪️To work with Group Compliance and execute timely spot checks for SBS ▪️Working with internal and external stakeholders across all areas of the Saxo Bank Group to ensure all complaints are handled quickly and efficiently. In addition,respond to and investigate client complaints ▪️Dealing with regulatory and other official enquiries. ▪️Undertaking compliance and legal training for staff. ▪️Participation in internal, external and regulatory audits. ▪️To regularly review and keep up-to-date relevant internal policies and procedures as well as client terms and agreement. |
| 労働条件 |
【勤務地】 東京都 契約期間：期間の定め無 試用期間：有（6ヶ月）※給与は同額 試用期間中は契約社員となります。 就業時間：9:00〜18:00（休憩1時間） 休日：土日、祝日、年末年始、有給休暇、その他特別休暇等 想定年収： ※業績により賞与を年1回支給 ※想定年収はあくまでも目安 残業：有 ※固定残業制、月４5時間内（超過分は別途支給） 社会保険：健康保険、厚生年金、労災保険、雇用保険 屋内の受動喫煙対策：屋内禁煙（同ビル内に屋外喫煙エリアあり） |
| 応募資格 |
【必須（MUST）】 ・2-5 years of experience in the Legal and/or Compliance capacity within the financial industry (preferably in the fields of capital markets/securitization/derivatives).・Good working knowledge of relevant Japan financial legislations and prior experience with dealing with Japanese regulatory authorities. ・Fluency in both written and spoken English and Japanese. ・Independent personality, with strong team working ethos. ・Business-oriented approach to the role |
| 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 | 2025/04/15 |
| 求人番号 | 4498208 |
採用企業情報
- サクソバンク証券株式会社
-
- 資本金890百万円
- 会社規模非公開
- その他
-
会社概要
●会社概要
設立：2006年4月
代表者：代表取締役社長 ゲーデ・ヨハン
資本金：8億9千万円
本社所在地：東京都港区六本木1-6-1
事業内容：店頭デリバティブ取引を扱う金融商品取引業、商品先物取引業
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