外資系証券でのコンプライアンス関連業務の求人
求人ID:96776
募集終了
転職求人情報
職種
Compliance
ポジション
VP,Director
おすすめ年齢
20代
30代
40代
50代以上
年収イメージ
1000万円
仕事内容
(a) Advice and interpretation
Implement procedures relating to individual registrations in Japan exchanges and US regulatory requirements, including:
Scheduling external training;
Preparing documentation in order to register or re-register employees;
Responding to enquiries from employees and regulators;
Performing regular reviews to ensure that relevant staff are appropriately registered;
Managing relationships with relevant business units; and
Maintaining the Firm’s registration database.
(b) Implementation of new policies and procedures
Consult, draft and assist in the implementation of new policies and procedures both in response to relevant legislative or regulatory changes, and generally to enhance efficiency.
Implement procedures relating to individual registrations in Japan exchanges and US regulatory requirements, including:
Scheduling external training;
Preparing documentation in order to register or re-register employees;
Responding to enquiries from employees and regulators;
Performing regular reviews to ensure that relevant staff are appropriately registered;
Managing relationships with relevant business units; and
Maintaining the Firm’s registration database.
(b) Implementation of new policies and procedures
Consult, draft and assist in the implementation of new policies and procedures both in response to relevant legislative or regulatory changes, and generally to enhance efficiency.
必要スキル
Experience in a regulatory or compliance role either with a bank, securities house, regulator, exchange or accountancy practice;
Knowledge of FSA/Japan exchange registration rules and processes would be desirable;
Knowledge of Japan compliance issues
Excellent written, verbal, and interpersonal communication skills (both in English and Japanese).
Confident, with initiative, excellent judgment, analytical and communications skills; and
Computer skills to include Word and Excel spreadsheets. Familiarity with mainframe computer entry screens would be desirable.
Knowledge of FSA/Japan exchange registration rules and processes would be desirable;
Knowledge of Japan compliance issues
Excellent written, verbal, and interpersonal communication skills (both in English and Japanese).
Confident, with initiative, excellent judgment, analytical and communications skills; and
Computer skills to include Word and Excel spreadsheets. Familiarity with mainframe computer entry screens would be desirable.
就業場所
就業形態
正社員
企業名
大手外資系投資銀行
企業概要
大手外資投資銀行。日本企業へのカバレッジ力は外資TOP。
企業PR
業務カテゴリ
組織カテゴリ
備考
コンプライアンスの求人情報
外資系金融機関の求人情報
- 外資系大手生命保険でのValue Management Group, Director, Actuary/~800万円/東京都
- 外資系生命保険会社グループのシステム会社におけるMainframe Engineer<ジュニア>/~800万円/東京都
- 外資系生命保険会社グループのシステム会社におけるe-Commerce Engineer/~800万円/東京都
- 外資系生命保険会社グループのシステム会社におけるMiddleware & Integration Product Manager/~1000万円/東京都
- 外資系生命保険会社グループのシステム会社におけるProject Lead (Manager)/~1000万円/東京都
英語力を活かすの求人情報
転職体験記
- 希望退職に応じた末の再就職、ヘルスケア系上場ベンチャーへ(50代/男性/私立大学卒)
- 日系SIerから大手携帯電話通信キャリアへ(30代/男性/私立大学卒)
- 機械メーカーを定年退職後の再就職、地方銀行へ(60代/男性/国立大学院卒)
- 金融業界での経験を活かして、投資運用会社へ(60代/男性/国立大学卒)
- 損害保険会社でのコンプライアンス業務に専念すべく転職を決意(30代/女性/私立大学卒)
- グローバル企業での経験を活かしつつ新たなチャレンジ、有名チェーン店等を運営する外食企業へ(30代/男性/私立大学卒)
- 物流業界へのこだわり、大手商社設立の食品EC企業へ(40代/男性/私立大学卒)
- 2回目の転職も同じコンサルタントで、大手日系信託銀行へ(40代/男性/私立大学卒)
- 大きな可能性を感じられる企業へ転職、損害保険会社へ(40代/女性/国立大学院卒)