Compliance Associate [ID:34565]新着求人
- 想定年収
- 700万～900万円＋ボーナス
- 仕事内容
- Job Profile Summary
・Prepares documentation for ITM Funds, regulatory filings, licensing, board meeting materials, regulatory inspections and audits.
・Conduct compliance reviews on materials prepared by business units including marketing materials and RFPs
・Monitor portfolio compliance of client accounts and ITM Funds
・May also prepare documentation that complies with applicable legal requirements.
・Works on a variety of compliance projects under the supervision of managers and senior associates.
Role Description
・Prepares documentation for ITM Funds which include prospectuses, annual investment reports and security registration statements
・Prepares documentation for routine regulatory filings, licensing, board meeting materials, or applicable legal requirements.
・Researches, collects and reviews documents for various regulatory inspections, audits, board and shareholder meetings, other applicable legal requirements, etc.
・Interacts with internal business groups to obtain necessary information.
・Stays up to date on regulatory and other applicable deadlines. Ensures work is completed on time by monitoring the progress leading up to the deadlines.
・May create and maintain job aides.
・Conduct compliance reviews on materials or documents to be provided to external parties or to be published, which include marketing materials, RFPs, quarterly investment reports and client letters
・Monitor portfolio compliance of accounts and Funds through systems and/or dedicated business units overseas.
・Monitors and ensures associates and firms are in compliance with our Group policies and regulations.
Performs additional responsibilities as assigned. - 必要経験
- ・ビジネスレベルの英語力
・関連する業務経験 - 予定勤務地
- 東京都千代田区
- 企業名
- 社名非公開：米国独立系投資顧問
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