投資顧問会社でのコンプライアンス業務の求人

Monitoring
　Investment
　　.Investment guidelines
　　.Best execution and fair allocation
　　.Large holding or 5% rule
　　.Turnover
　　.Cross-trade
　　.Short term transaction
　　.Anomalous transaction
　　.IPO Acquisition
　　.Derivative Transaction
　　.Deal error
　　.Transaction with interested party
　　.Voice recording
　　.Credit limit to brokers
　　.WVFJ value check
　　.JSC large cap holding check
　　.Official registrar filing check
　　.Insider transaction
　　.Front running

　Investment trust
　　.Investment guidelines
　　.Best execution and fair allocation
　　.Turnover
　　.Cross-trade
　　.Short term transaction
　　.Anomalous transaction
　　.IPO acquisition
　　.Derivative transaction
　　.Deal error
　　.Voice recording
　　.NAV calculation
　　.Official registrar filing check
　　.Insider transaction
　　.Front running

　Business and Marketing
　　.Review of marketing document proposing to distributors
　　.Review of marketing document distributing to investors
　　.Review of marketing document filing at authorities and 　associations
　　.Review of trust deed, prospectus, offering memorandum, 　amendment of prospectus, explanatory memorandum
　　.Review of investment report, semi-term investment report, extraordinary investment report
　　.Monthly and weekly investment report
　　.Advertisement
　　.Review

　Compliance of laws and regulations
　　.Pre-clearance of personal deal, holding declaration
　　.Reception of gift and entertainment　
　　.Insider transaction
　　.Monitoring law and regulation change

Agreement or contract
　　.Drafting investment advisory agreement, discretionary agreement in Japanese and English
　　.Review of investment advisory agreement, discretionary
　　.Drafting protocol of Article 14 and 15 of Investment Advisory Law
　　.Conclusion and revision of investment agreement
　　.Drafting memorandum
　　.Drafting and revising investment guidelines

Reporting and advice to CEO
　　.Compliance issues
　　.Internal control
　　.Disciplinary or rewarding actions
　　.Human resource

Reporting to the Group
　　.Monthly compliance report
　　.Quarterly compliance report
　　.Money laundering report
　　.Risk-based compliance self assessment





Risk Management
. Cover the overall company risk management and control
. Chair the Risk Management Committee

Corp secretariat
. Secretariat work for holding BOD and share-holders Meeting
-Scheduling and document preparation
-Minutes taking

A team player with a strong sense of loyalty and commitment to quality
Good communication, facilitation and presentation skills
Dependable, disciplined and consistent
Ambitious, innovative, and resourceful
Customer service orientated