Senior Manager Compliance　求人詳細情報

Senior Manager Compliance [ID:45461]新着求人

想定年収

別途ご案内致します

仕事内容

・Establish and develop good relationships with regulators and industry bodies, coordinate regulatory examinations and fulfill statutory responsibilities.
・Research legislation and advise business on relevant legislation and regulatory changes.
・Partner with departments on business initiatives, advising management and employees on laws, regulations, and industry best practices.
・Advice and support product launches, reviewing marketing materials and financial promotions etc to ensure adherence to applicable regulatory requirements and industry best practice.
・Membership of presentation to Corporate Governance Committees including Risk Management Committee, Board as applicable
・Provide onshore support for Board Meeting, assisting in the preparation of minutes and resolution, local filing to meet Company registry requirements
・Manage corporate seal, registrations, resolutions, and company registry filings.
・Under guidance from Head of Compliance Japan with Franklin Templeton’s first- and second-line teams (i.e. Risk, Governance, Distribution, Legal) to identify. assess, and mitigate potential regulatory risks, and provide recommendations to relevant stakeholders.
・Coordinate with internal and external auditors.
・Develop and deliver compliance training programs to promote employee awareness and understanding of local regulatory requirements and global policies.
・Promote a culture of integrity, accountability, and Speak Up by creating an environment where employees feel empowered to raise concerns, seek guidance, and contribute to ethical decision-making.
・Support organizational change initiatives by embedding compliance considerations into business transformation activities, ensuring risks are identified and managed effectively.
・Lead and contribute to projects and other ad hoc initiatives as required.

必要経験

Experience, Education & Certification:
・Bachelor’s degree in Business, Law, or related discipline
・Minimum 10 years’ experience in the investment advisory, mutual fund, superannuation fund and/or broker-dealer sectors.
・Minimum of 5 years’ experience in legal, compliance, internal audit, risk management, portfolio accounting, or trading/portfolio management operations.

Technical Skills:
・In depth knowledge of mutual funds, separate account management, or other similar investment products.
・In depth knowledge of Japanese regulatory and legal regimes and regulators’ examination techniques/procedures.
・Strong understanding of regulatory examination techniques and supervisory expectations.

Soft Skills:
・Excellent written and verbal communication skills in Japanese and English.
・Exceptional relationship management and communication skills across all levels of stakeholders.
・Strong analytical, problem-solving, and communication skills.
・High attention to detail, ability to implement systems and drive continuous process improvement.
・Demonstrate a forward-thinking mindset by proactively understanding new business areas and adopting innovative tools and technologies to support growth and adaptability

予定勤務地

東京都千代田区

企業名

社名非公開：世界最大級の独立系グローバル資産運用会社

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