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投資顧問会社でのコンプライアンス業務/求人ID:93825

募集終了
株式会社コトラ
職種 Legal & Compliance
ポジション Senior Compliance Officer
おすすめ年齢
20代
30代
40代
50代以上
年収イメージ 応相談(イメージ ~1500万円)
仕事内容 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
必要スキル 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
就業場所 東京都
就業形態 正社員
企業名 外資系投資顧問会社
企業概要 英国最大手の生命保険会社を核とするグループの資産運用会社で150年の歴史。「安定性」が重視される生命保険や年金、投資信託の資産運用が中心。アジア投資に強みあり。
企業PR
業務カテゴリ コンプライアンス
組織カテゴリ 外資系金融機関
備考 Able to represent the company in acquisition and due diligence activities at te highest level and project manage teams when necessary.
証券・金融での経験必須
関連キーワード 欧州系 投信投資顧問 コンプライアンス

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