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- 仕事内容
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• Provide compliance advice and support to the ongoing operations and future business development in Japan ensuring adherence to the latest rules, regulations, and regulatory expectations.
• Liaise with regulators in Japan, such as the Financial Services Agency of Japan (JFSA), to ensure compliance with statutory rules and regulations and handle regulatory requests, inquiries, filings/reports, notifications, and onsite examinations.
• Monitor regulatory changes applicable to the Japan business and provide timely advice.
• Review sales and marketing materials, documents and external communication to ensure adherence to applicable statutory rules and regulations and industry best practice.
• Maintain and update Compliance Manual and relevant compliance policies and procedures to ensure business operations and practice are consistent with the latest local regulatory requirements and Group policies.
• Oversee licensing matters, compliance monitoring program and tasks delegated to the Group’s Compliance support teams.
• Provide compliance advice/input on complaints, operational errors, incidents, breaches, and corresponding risk-mitigating actions to prevent re-occurrence.
• Provide compliance advice/input on internal and external due diligence requests, and requests for proposal (RFP).
• Review Regulatory Reports including Substantial Shareholders Reports.
• Handle requests from internal and external audits.
• Conduct regular risk assessments to identify potential compliance risks and develop strategies to mitigate them.
• Design and deliver compliance training programs to ensure that all employees are aware of their compliance obligations.
• Provide support to the Head of Compliance, Japan to maintain an effective compliance framework and promote a strong compliance culture.
• Participate in local, regional and/or global compliance initiatives, projects and other ad-hoc compliance duties as assigned. - 必要経験
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• A minimum of 8 years of relevant experience in the financial services industry, preferably gained through practical experience in regulatory/business compliance in asset management companies and/or regulatory authorities in Japan
• Extensive knowledge of legal and regulatory requirements applicable to the asset management industry in Japan
• Strong oral and written communication skills in both English and Japanese
• High integrity and excellent work ethics
• Strong problem-solving skills
• Ability to lead and coach team members
• Flexibility, enthusiasm and a willingness to learn and develop new skills and knowledge, and adapt to the growing business needs of the Company - 予定年収
- 別途ご案内致します
- 予定勤務地
- 東京都港区
- 企業名
- 社名非公開 : 外資系大手運用会社
- 企業の特徴
- 約111兆円の運用資産を誇る外資独立系運用会社の日本法人。「投資家の皆様の経済的目標達成に貢献すること」をミッションに掲げ、資産運用ソリューションを提供している。株式、債券、不動産、PE、バンクローンなど対象となる資産は多岐にわたり、ファンダメンタル分析やクオンツ分析を用いた運用の他、タクティカルアセットアロケーション、アブソリュートリターンなど様々な手法を駆使して運用戦略を展開する。日本国内でもその存在感を強めており、更なる拡大が期待される。
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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。
