投資コンサルティング会社でのコンプライアンスオフィサーの求人
求人ID:103718
募集終了
転職求人情報
職種
コンプライアンスオフィサー
ポジション
コンプライアンスオフィサー
おすすめ年齢
20代
30代
40代
50代以上
年収イメージ
年収イメージ:800万円〜1200万円(経験・能力を考慮の上当社規定により決定)
仕事内容
<Responsibilities>
The position’s primary activities include:
●Managing the compliance risks that are associated with the product and services being provided in Japan by designing, implementing and maintaining a compliance framework that mitigates such risks.
●Serving as a technical resource with regards to the company’s compliance and regulatory matters, responding to questions and matters as they arise. Seeking outside professional advice, if necessary, from legal attorneys and other advisers.
●Providing guidance to the company’s senior management or staff members on regulatory and compliance matters.
●Leading, directing and overseeing the activities performed by the company employees including their identification of areas of risk and the design, implementation, and maintaining of the necessary policy, procedures and controls to minimize those risks
●Keeping abreast of regulatory developments in Japan that pertain to the company’s products and services. Filing documents and reporting to Kanto Financial Bureau (or Financial Service Agency) and the industry association as required by laws and regulations.
●Planning and implementing compliance training programs for the company employees.
●Interpreting new rules and regulations and implementing the strategy (including creating new or enhancing existing policies and procedures) to comply with such rules and regulations within the required regulatory time frame.
●Promoting a culture of compliance by having an open, honest, and ongoing communication with the company’s senior managers and employees.
The position’s primary activities include:
●Managing the compliance risks that are associated with the product and services being provided in Japan by designing, implementing and maintaining a compliance framework that mitigates such risks.
●Serving as a technical resource with regards to the company’s compliance and regulatory matters, responding to questions and matters as they arise. Seeking outside professional advice, if necessary, from legal attorneys and other advisers.
●Providing guidance to the company’s senior management or staff members on regulatory and compliance matters.
●Leading, directing and overseeing the activities performed by the company employees including their identification of areas of risk and the design, implementation, and maintaining of the necessary policy, procedures and controls to minimize those risks
●Keeping abreast of regulatory developments in Japan that pertain to the company’s products and services. Filing documents and reporting to Kanto Financial Bureau (or Financial Service Agency) and the industry association as required by laws and regulations.
●Planning and implementing compliance training programs for the company employees.
●Interpreting new rules and regulations and implementing the strategy (including creating new or enhancing existing policies and procedures) to comply with such rules and regulations within the required regulatory time frame.
●Promoting a culture of compliance by having an open, honest, and ongoing communication with the company’s senior managers and employees.
必要スキル
●Must have a university degree with such degree or an advanced degree in business management, law, commerce (finance/accounting) or economics preferred.
●Must have at least five years of compliance experience in asset management business in Japan with demonstrative ability of working with local regulatory bodies, carrying out research on legislative and regulatory matters, and critically analyzing and evaluating a compliance framework’s effectiveness in mitigating compliance risks.
●Must have a solid understanding of the regulations and requirements in Japan that pertain to the delivery of investment advisory and discretionary management services (including investment research reports) primarily to institutional clients either directly or through an investment research and portfolio analysis platform.
●Must be a detail-oriented, independent thinker who excels at interacting with persons at all levels and exhibits strong problem solving skills.
●Must be fluent in English and Japanese with strong writing and communication skills.
●Must have strong organizational and time management skills with the ability and willingness to respond to changing priorities
●Must have at least five years of compliance experience in asset management business in Japan with demonstrative ability of working with local regulatory bodies, carrying out research on legislative and regulatory matters, and critically analyzing and evaluating a compliance framework’s effectiveness in mitigating compliance risks.
●Must have a solid understanding of the regulations and requirements in Japan that pertain to the delivery of investment advisory and discretionary management services (including investment research reports) primarily to institutional clients either directly or through an investment research and portfolio analysis platform.
●Must be a detail-oriented, independent thinker who excels at interacting with persons at all levels and exhibits strong problem solving skills.
●Must be fluent in English and Japanese with strong writing and communication skills.
●Must have strong organizational and time management skills with the ability and willingness to respond to changing priorities
就業場所
就業形態
正社員
企業名
アセットアロケーションコンサルティングファーム
企業概要
投資運用業界および投資家に対するコンサルティング提供ファーム。
企業PR
業務カテゴリ
組織カテゴリ
備考
関連キーワード
コンプライアンスの求人情報
コンサルティングファームの求人情報
専門コンサルティングの求人情報
転職体験記
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- 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)
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- 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)