募集要項
- 募集背景
- A financial services company is looking to hire a Compliance Officer. This position will be responsible for overseeing the company's regulatory relationships, adherence to policies and legal requirements. This is a great opportunity to advance your career with a financial services company.
- 仕事内容
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A financial services company is looking to hire a Compliance Officer.Responsibilities:
* Establish and maintain regulatory relationships and regular dialogue with regulators
* Handle client account opening and on-boarding, conducting KYC and AML due diligence and reporting
* Assess regulatory implications of new businesses and products, facilitating transaction approvals
* Establishing compliance policies and procedures, and implementing processes for their periodic review, update and internal distribution;
* Establishing and implementing a staff training programme to ensure continuing professional education requirements are met or exceeded;
* Assisting in the implementation of transaction monitoring and control systems as necessary to ensure they meet regulatory standards and best practice;
* Reviewing customer disclosures, marketing materials, and dealing with complaints handling;
Requirements:
* Business level fluency in both Japanese and English
* Bachelor's degree
* Experience in legal and/or compliance matters in the financial services industry
* Knowledge in equity derivatives products preferred
* Qualifications as a First- or Second-Class Securities Representative (証券外務員資格) or Internal Controller (内部管理責任者) desirable
- 応募資格
-
- 必須
- Experience in legal and/or compliance matters in the financial services industry
- 歓迎
- 英語力必要。その他は詳細からご確認ください。
- 雇用形態
- Permanent
- 勤務地
- Tokyo
- 年収・給与
- Up to JPY12000000 per annum
