募集要項
- 仕事内容
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• 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
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- 必須
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• 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
- 雇用形態
- 正社員
- 勤務地
- 東京都
- 年収・給与
- 想定年収:600万円~800万円程度(応相談)※ご経験・スキルに応じて検討します。
- 待遇・福利厚生
- Social insurance
- 休日休暇
- Full 2 holiday week system (Sat/Sun) national holidays, New year’s holiday, Annual Leave