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- 仕事内容
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This role serves as Compliance-in-charge responsible for overseeing all Compliance matters for our. This position will also collaborate with other APAC compliance colleagues as well as Global Compliance Team, to implement key components of the compliance program.
・The Head of Japan Compliance, through the management of the Japan Compliance team, is responsible for ensuring the business conducted complies with:
-Applicable laws and regulations to which our subjects to,
-Internal firmwide and local compliance policies and procedures,
-Contractual obligations.
・The Head of Japan Compliance regularly reports to the Senior Management and Board of Directors of our. This individual will also act as the Compliance-in-charge for our.
・The Head of Japan Compliance and his/her team shall act as the compliance representative in all projects and initiatives for our; work collaboratively with business unit representatives to ensure regulatory/compliance risks and considerations are addressed.
・Is responsible for interaction with regulatory bodies relating to ITM business in Japan, including;
-maintenance of appropriate regulatory licenses including the Method of Conducting Business Statement,
-regulatory liaison including responding to questions/information requests,
-regulatory record keeping requirements of the our,
-regulatory filings and
-management of regulatory inspection visits.
・Develops and maintains compliance procedures relating to our business. Monitors compliance with procedures applicable to our including, but not limited to, the Tokyo Compliance Manual. Maintaining knowledge of regulatory developments and implement any required business changes; conducting training as necessary.
・Has primary responsibility for providing consultative compliance support relating to ITM business to both Tokyo based Associates and others within the wider group. Serves as the key contact point for all questions queries relating to regulatory matters. Provides regulatory training to Tokyo based Associates. Acts as a conduit between the different cultures and business practices of corporate Japan and our. - 必要経験
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・Undergraduate Degree or equivalent
・A minimum of 10 years working experience in the compliance field in Japan
・A thorough understanding of the Financial Instruments Exchange Law and the Investment Trust Law, also a knowledge of other relevant pieces of legislation, including corporate law, pension law, and rules of the Japan Investment Advisers Association and Investment Trust Association.
・In depth knowledge of the investment management industry, preferably over 10 years
・Good product knowledge – ITM products and separate account strategies
・Project management capabilities
・Mentoring, management and leadership skills
・Excellent interpersonal and influencing skills
・Good verbal and written English
・A team-worker who must be able to build working relationships both within LCA Team and in the wider business
・Analytical skills allied with creative thinking
・Highly organized and able to make critical, time sensitive decisions under pressure and produce results without supervision
・Ability to handle heavy workload under tight timeframes and prioritize appropriately
・Sound project management capabilities - 予定年収
- 2000万～2500万円程度
- 予定勤務地
- 東京
- 企業名
- 社名非公開 : グループ全体で約119兆円を運用する外資系資産運用会社
- 企業の特徴
- グループ全体で約119兆円を運用する外資系資産運用会社。確定拠出年金ビジネス、変額年金保険関連ビジネスをはじめ、公募投信、機関投資家および年金基金向けビジネスを展開。
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