金融機関/金融プロフェッショナルの転職・求人

Lead Manager, Marketing Compliance

Lead Manager, Marketing Compliance [ID:25804]

仕事内容
The role holder will identify, research, analyse, advise, comment on and monitor regulatory issues related to sales and marketing materials generated by various business units within our company's international operation that will be distributed in Japan by us. The role holder will independently advise business units on the application of regulatory rules. The role holder is required to review complex or novel international communications and make recommendations to the Compliance Manager, Japan and/or to the appropriate member of the Global Communications Compliance Lead Team respond to regulatory inquiries, and provide consultative services on regulatory matters relating to such communications.

PRINCIPAL RESPONSIBILITIES
1. Reviews Tokyo communications to be used with Tokyo clients and prospects to ensure these materials meet group-wide policy and legal requirements, regional advertising and sales practice, and comply with relevant regulatory requirements. Provides direction and acts as a subject matter expert for the business units in helping to ensure their compliance with regulatory requirements. Identifies potential issues outside regulatory matters and refers to the relevant subject matter expert for input

Reviews and identifies potential regulatory issues relating to sales and marketing materials generated by multiple business units. Presents business unit associates with the results of reviews and recommended actions.

Responsibilities and work activities are under the direction and guidance of the Compliance Manager, Japan and the Head of Global Communications Compliance. Additional collaboration with the Senior Manager of International Compliance and Senior Legal Counsel in the analysis of potential legal impact and researches issues associated with Tokyo communications materials, and presents business unit managers with the results of this research including interpretations, findings, and recommended actions, as necessary.

2. Contributes to the creation of internal manuals, policies and procedures to ensure consistent and sound practices are adhered to within each business unit.

Assists the Compliance Manager, Japan and the Head of Global Communications Compliance in the design of controls, process improvements, and other tasks to ensure the maintenance of an efficient review process.

3. Educates relevant staff about our company's Communications Compliance procedures and policies, and relevant regional/country specific advertising regulations. Resolves issues raised by the business units with respect to advertising policies and comments provided on specific materials and coordinates any necessary changes with marketing personnel as appropriate.

4. Monitors changes, and proposals to change, laws and regulations relevant to the Communications issued by us in Japan

5. In the absence of the Compliance Manager, Japan, assume day-to-day oversight of the compliance communications review process for Japan.
必要経験
・Undergraduate degree, or equivalent, with approx. 4 to 10 years’ experience working on Japanese Investment Trusts fund and/or SMA, GIPS or other financial services advertising/communications issues
・Demonstrated professional in area of expertise
・Detailed knowledge of Japanese regulations/regulatory regimes
・Ability to learn and then use and apply complex laws and regulations to a wide variety of areas
・Ability to build positive relationships with individuals at all levels
・Excellent verbal and written communication skills, in both English and Japanese
・Ability to influence individuals to take action
・Methodical, with ability to work independently and as a team
・Ability to learn and then use and apply complex laws and regulations to a wide variety of areas
・Product knowledge, ITM fund and SMA
想定年収
別途ご案内致します
予定勤務地
東京
企業名
社名非公開:グループ全体で約109兆円を運用する外資系資産運用会社
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