募集要項
- 仕事内容
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・Manage advisory compliance and associated control environments and strike the balance between serving as trusted advisor to the business and encouraging a culture of robust challenge to the business.
・Review existing compliance policies and procedures and make enhancements to strengthen processes, procedures and policies and stay head of regulatory requirements and expectations under FSA regulations.
・Issue spot, analyze, and dimension the complexity of risks and regulations; handling complex issues and engaging directly with regulators.
・Interface with senior management to ensure effective awareness of key compliance risk areas and develop and implement mandatory and targeted training on relevant compliance regulations and processes.
・Develop, execute and maintain a monitoring and testing plan to ensure that controls are operating as intended and prepare regular reporting on compliance activities.
・Conduct and administer our Board meetings and shareholder meetings.
・Review of marketing materials, pitch books and assist in client on boarding.
・Knowledge of local AML rules and regulations.
・Prepare and file required documentation for the FSA or other relevant external authorities on a routine and ad-hoc basis.
・Oversee day-to-day administration of several key controls including portfolio guideline monitoring, restricted issuer list, gifts and entertainment reporting, personal trading, authorized trader lists, OFAC and local sanctions programs, regulatory reporting, marketing material review, and ethical walls.
・Stay abreast of changes in the regulatory environment and analyze the business impact of regulatory changes.
・Work collaboratively with business partners and senior leaders including those in IT, Legal Affairs, Corporate Licensing, and Internal Audit.
・Advise on and provide credible challenge to compliance with relevant laws, regulations, and compliance policies.
・Provide meaningful compliance reporting to senior management
- 応募資格
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- 必須
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・8+ years relevant and suitable Compliance experience gain with an FSA registered investment management firm
・Extensive knowledge of rules and regulations applicable to our 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
・English Language level: Business level
・Japanese Language level: Fluent – Native Level (Equivalent to JLPT N1)
- 雇用形態
- Full time
- 勤務地
- Tokyo
- 年収・給与
- 10 million yen ～ 15 million yen + bonus (Experiences and skills will be considered)
- 待遇・福利厚生
- Social insurance, Commuting Allowance, Retirement Allowance (Defined-Contribution Pension, Defined-Benefit Pension), Flex, Hybrid (On-site x Remote)
- 休日休暇
- Full 2 holiday week system (Sat/Sun) national holidays, New year’s holiday, Annual Leave (5 or 10 days. it depends by starting date)
- 選考プロセス
- Resume screening and 2-3 interviews
