あなたの転職意向に沿った専任コンサルタントをアサインいたします。
実績豊富なコンサルタントが、あなたの転職活動を強力にサポートいたします。
Associate Compliance Officer [ID:42453]
- 想定年収
- 別途ご案内致します
- 仕事内容
- ■ Regulatory/Business/Central/Financial Crime Compliance
・Review sales materials, documents and external communication
・ Provide regulatory advice on business, ad hoc issues and incidents
・Communicate compliance issues and build relationship with internal clients and keep business updated.
・Support head of Compliance to implement Financial Crime related compliance framework and controls
・Implement internal controls relating to Code of Ethics (i.e. personal account dealing, gifts and entertainment and other controls)
・Deal with (self) regulators, build and maintain good relationship
・Revise internal rules and policies and publicize them
・Promote a spirit of compliance to ensure employees to comply with the rules and regulations
■Support for Investment Compliance
To support IC Officer who monitors related investment guidelines.
・Support IC Officer to perform contract Analysis
-Provide advice on client contract/prospectus development
-Support IC Officer to review and document regulatory and client investment restrictions
-Support IC Officer to validate requirements and resolve interpretive issues (ambiguous language)
・Participate in regional and/or global compliance projects/initiatives as required
・Supervise Personal Trade Activity
・Large Share Holding Report for Japanese EQ - 必要経験
- ・Regulatory/Business Compliance is preferable
・Experience of Compliance in Asset Management industry: over 3 years is preferred
・More than 3 years of trading or compliance at a financial services or investment firm
・Experience of Compliance in Financial Industry: over 3 years
・Business English communication skill
・Broad knowledge of the financial industry and industry surveillance best practices
・Self-motivated.
・Communications, Teamwork and Leadership Skills are required.
・Training and Coaching Skills are a plus
・Confident with strong relationship-building and stakeholder management skills with business managers and technical teams
・Strong organizational skills and capable of independently handling multiple projects to completion
・Ability to work in a technology-focused and fast paced environment - 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
類似する求人情報はこちら
下記のいずれか、該当する方をお選びください。
履歴書・職務経歴書をお持ちの方
簡単登録（登録目安時間1分）
履歴書・職務経歴書をお持ちでない方
通常登録（登録目安時間3分）
※スマートフォンからはこちらがおすすめです。
こちらのポジションは下記コンサルタントが担当しております。
