外資系資産運用会社でのSenior Compliance Officer

94997

Senior Compliance Officer

・To correspond with the FSA and other regulatory bodies. To prepare and submit regulatory reports to clients and relevant authorities;
・To establish and maintain the Company’s compliance programs including compliance manuals, etc. integrating new laws and regulations;
・To ensure and monitor fund management, trading and operational activities in compliance with regulations, restrictions, policies and guidelines;
・To ensure and monitor marketing materials and reports sent out to clients or prospective clients in compliance with regulations and restrictions;
・To review and pre-clear personal securities trading and holdings, and monitor insider trading and AML;
・To deal with complaints and individual privacy information control;
・To review contractual documents;
・To provide compliance training and update staff with law and regulation changes; and
・To support other projects from a compliance perspective.
・Supervise and coordinate work of junior staff

＜must＞
・Proficiency in English
・PC Skills
・Experience of compliance in asset management business

東京都

応相談（イメージ：1500万円程度）

正社員

外資系資産運用会社

米系資産運用会社の日本支社。

法務・コンプライアンス

リスクマネジメント コンプライアンス