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- 仕事内容
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This position is a junior-mid level role of Financial Markets (FM) business advisory team mainly focusing on PS&F, Equity, Equity Derivatives advisory topics and also MI.
As a junior-mid level Compliance Officer, you’re expected to;
Provide real-time compliance advice to Global Markets (mainly PS&F, Equity, Equity Derivatives and QIS related business) on Compliance matters on the trading floor.
Coordinate views/feedbacks/findings from Japan compliance regarding local regulations, regulatory expectations, practices, and other items as needed, and provide them to global/regional Compliance teams.
Coordinate views/feedbacks/findings from Compliance to the relevant businesses within the Financial Markets area, coordinating within the Japan compliance team as well as, where needed, with the regional and/or global Compliance teams.
Manage and perform day-to-day compliance controls to secure Permanent Control framework.
Provide training sessions regarding rules, regulations, policies and procedures to Global Markets or other related departments.
Analyse regulations and global/regional policies in case there are any new laws/regulations/rules/policies or there is any update and consider the applicability. Where applicable, to update internal policies and procedures in accordance with any such changes.
To handle any incident with regulatory impact collaborating with the necessary stakeholders and functions
Communicate with Japanese regulatory authorities including inspectors. - 必要経験
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Ability/Desire to solve compliance issues with tenacious mind set.
Fluency in Japanese and English both written and verbal.
Ability to perform as a good coordinator with relevant departments.
1-3 years of compliance experience is plus. - 予定年収
- 別途ご案内いたします。
- 予定勤務地
- 東京都千代田区
- 企業名
- 社名非公開 : ユーロ圏トップクラスの金融グループ
- 企業の特徴
- ユーロ圏トップクラスの規模を誇る金融グループ。日本国内においても法人向け銀行業務の他、証券･投資銀行業務、投信投資顧問業務、生命保険･損害保険業務など、各法人において多岐にわたる業務を展開している。
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- 上記企業との契約内容により、企業名を非公開とさせていただいております。
