募集要項
- 募集背景
- A leading international financial group is searching for a deeply experienced industry professional with some audit, risk management or legal related experience to join them as the Head of Compliance. In this position you will identify risks and advise the business on compliance matters.
- 仕事内容
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【Salary Negotiable based on Experience】Responsibilities:
* Identify, document and assess compliance risks applicable to each regulated entity and its business activities
* Perform compliance monitoring, reviewing, testing and reporting
* Provide advice to senior management and staff on compliance laws, rules, standards and "best practices"
* Assist senior management in educating staff on compliance matters, including but not limited to the provision of training on compliance laws, rules and standards
* Establish and develop relationships with regulators and industry bodies; coordinate regulatory examinations and fulfil statutory responsibilities
Requirements:
* Bachelor's degree in law preferred
* 10+ years' work experience in the financial services industry in an investment advisory, mutual fund, superannuation fund and/or broker-dealer sector
* 3+ years' experience in one or more of the following areas: legal, compliance, internal audit, risk management, portfolio accounting or trading/portfolio management operations
- 応募資格
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- 必須
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10+ years' work experience in the financial services industry in an investment advisory, mutual fund, superannuation fund and/or broker-dealer sector
- 雇用形態
- Permanent
- 勤務地
- Tokyo
- 年収・給与
- Negotiable based on experience
