·Conduct various compliance tasks (regulatory filing, compliance monitoring, personal account dealing, compliance training, issues/errors/complaints handling, global projects etc.) independently.
·Conduct trade surveillance and provide compliance advice to the trade floor.
·Provide advice on Compliance policies and procedures
·Review marketing and other materials to be provided to clients and other external parties.
·Address AML/CFT program.
·Address and enhance risk management framework.
·Manage interactions/inspections with external parties including internal auditors and regulatory inspectors.
·Strong verbal and written communications skills both in English and Japanese.
·At least 3 years’ experience in a compliance officer role at an asset management firm.
·Good knowledge of financial products and financial regulatory compliance.
·Good working knowledge of MS Word, Excel and other MS programs such as PowerPoint.
·Ability to work under pressure with a fair degree of autonomy as well as in a team environment is essential.
·Bachelor’s Degree or above
·Experience of working with global team.
·A strong leadership
·A good communicator with all levels of management and have outstanding organizational skills.
·Capability to handle and prioritize multiple tasks with tight time deadlines.
- Full time
14 Million yen ~ 18 Million yen
(Experiences and skills will be considered)