Senior Compliance Officer - Securities Firmの転職・求人情報 25971174

募集要項

仕事内容: • Reporting to, and working together with the Head of Compliance – Japan, in all aspects of the regulatory obligations of the entity in order to maintain the pre-requisite licenses.
• Key functional responsibilities comprising of regulatory compliance, compliance advisory, compliance monitoring and anti-financial crime compliance.
• Maintenance of Compliance Risk Assessments to ensure that latest regulatory risk exposures are being continuously complied, mitigated and managed.
• Assisting in the documentation of Policies for the firm to articulate regulatory obligations to be mitigated through controls in Procedures by first line functions.
• Assisting in the preparation of the Annual Compliance Plan for Board approval and implementation together with the Compliance Monitoring Program.
• Familiarity with FIEA, FETA & AML Act legislations relating to securities dealing and brokerage; specifically, CFDs, over-the-counter derivatives and foreign exchange transactions.
etc.

応募資格

必須: • Tertiary-related qualifications including Diploma or Degree or Professional Qualifications.
• Experience in a Compliance function or role for an FSA and/or JSDA regulated entity.
• Fluency in Spoken and Written Japanese
• Competency in spoken and written English.
• Working knowledge of Microsoft Outlook/Word/Excel Skills
• Comfortable with the use of PC-based enterprise applications

休日休暇: Full 2 holiday week system (Sat/Sun) national holidays, New year’s holiday, Annual Leave