外資系アセマネ会社でのコンプライアンス業務〜インベストメントガイドラインモニタリング及びAMビジネスライン〜の求人

●Overview
New position has been the key staff in AM Compliance team, responsible for any aspects of Business Line Compliance (BLC) and Investment Guideline Monitoring (IGM) as well as providing full support to head of AM Business Line Compliance, for covering AM business lines in operating legal entities .
Overseeing the Retail, Institutional and Alternative AM Businesses in Japan to mitigate compliance risks.
AM Business Line Compliance Officer is expected to carry out the following principal responsibilities:
Role Description:

<Business Line Compliance >

Business Line Compliance role includes new product approvals, day-to-day advise to the business, various documentation review, monitoring firewalls, handling of matters relating to the Code of Ethics, review of policies and procedures, managing conflicts of interest, regulatory developments, conducting compliance training and compliance risk assessment and creating Management Information Report on a regular basis, and other BLC related tasks from time to time.
<Investment Guideline Monitoring (IGM)>

Conducting transaction monitoring on regular basis such as daily, weekly, monthly etc as well as ad-hoc basis to detect breaches or potential breaches of laws and regulations.
Reviewing new fund set-up using related systems for accuracy with Investment Guidelines or Trust Deeds
Participating in key important projects such as new system platform and providing compliance value-added support to the projects, closely working with Investment Management team and other relevant department.

The candidate will have:

Fiduciary Mind set
Work experience in financial industry and Japan Market knowledge
Knowledge in Asset Management business
Knowledge of relevant laws and rules (e.g. Investment Trust, Investment Advisory etc.)
Compliance experience preferable
The candidate will be required:

Ability to work unsupervised and be strong team player, supporting other team members and building
Credible and sustainable relationship within the team, other members of the Compliance function and with supporting business
Ability to play supportive role as a BLC and IGM officer with strong communication skills
Ability to take on company-wide project such as system implementation if required
Ability to complete multiple tasks accurately and efficiently
Native Japanese and Business Level English (both writing and verbal)
Advanced skills in Microsoft office, EXCEL, WORD etc.