Compliance Officer – Japan　求人詳細情報

Compliance Officer – Japan [ID:44598]新着求人

想定年収

1300万～1500万円

仕事内容

・ Is responsible for interaction with regulatory bodies relating to Investment Trust Management
(“ITM“), Discretionary Investment Management (“DIM“), Non-discretionary Advisory and Type II
Financial Instruments 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 TRPJ,
　-regulatory filings and
　-management of regulatory inspection visits.
・Develops, enhances, and leads improvements in compliance procedures relating to TRPJ
business. Monitors and assesses compliance with procedures applicable to TRPJ, including, but
not limited to, the TRPJ Compliance Manual, identifying areas for improvement and
recommending solutions. Maintaining knowledge of regulatory developments and implementing
any required business changes; conducting training as necessary.
・Has responsibility for providing consultative compliance support relating to TRPJ business to
both Tokyo based Associates and others within the wider group. Acts as a primary point of
contact for all questions relating to Japanese regulatory matters. Provides regulatory training to
Tokyo based Associates. Acts as a conduit between the different cultures and business
practices of corporate Japan and T. Rowe Price. Conducts compliance risk assessments and
provides actionable recommendations to senior stakeholders.
・Is responsible for reviewing, analyzing and approving marketing materials to be used for Japan to
ensure that the materials are produced in accordance with both internal and external regulatory
requirements. Providing regulatory compliant solutions to issues identified in materials.
・Collaborate with the APAC Compliance Monitoring and Testing team to conduct compliance
monitoring and testing activities, with a particular focus on Japan-related regulatory matters,
ensuring adherence to applicable internal policies and regulatory requirements.
・Coordinate between Product Development/Sales/Investments and Investment Compliance Team
outside Japan for interpretation of rules and guidelines and coding to Compliance Monitoring System and help monitoring when required.

必要経験

・College degree and a minimum of 5 years related work experience
・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 Investment Management Association of Japan.
・Solid knowledge of the investment management industry
・Good product knowledge – ITM products and DIM account strategies
・Project management capabilities
・Excellent interpersonal and influencing skills, an articulate and effective communicator, including
ability to present complex concepts into understandable and actionable points
・Good verbal and written English
・A collaborative team player with the ability to influence stakeholders and build strong working
relationships across the Legal, Compliance, Audit and Risk Business Unit and the broader
organization but must also be able to work without day-to-day supervision.
・Analytical skills allied with creative thinking.
・Ability to handle heavy workload under tight timeframes and prioritize appropriately
・Able to work under pressure and produce results without close supervision
・Built-in client-oriented mind-set.
・Built-in audit mindset to detect and escalate potential regulatory/policy non-compliance issues
and suggest corrective actions
・Solid attention to detail, strong problem solving, analytical, project management, organization,
coordination, and critical thinking skills

予定勤務地

東京都千代田区

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

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