外資系証券でのシニアコンプライアンスオフィサーの求人

証券会社でのコンプライアンス業務全般

＜Business Advisory＞
●Provide the advice for the products and services and marketing activities.
●Verify that the processes are sufficient to ensure compliance with the relevant rules and requirements.
●Assist in managing the relationship with the regulators and Exchanges, handle requests from the regulators and exchanges
●Assist in responding to regulatory inquiries and investigations
●Monitor and alert the Management and staff to the latest regulatory changes and developments, including the rules of the Exchanges
●Advise sales staff on the selling restrictions
●Support internal efforts to safeguard client confidentiality and personal data protection

＜Back up of Controller＞
●Transaction monitoring and Performance of controls for the mastering of the non-compliance risks

＜Policies and Procedures＞
Support our company Head of Compliance:
●in the development, dissemination and management of Compliance policies and procedures.
●to ensure that all core policies and procedures are reviewed at least on an annual basis and updated as necessary. Updates are made to reflect new business activities or regulatory developments, including new regulations, changes in regulations, developments in regulatory focus or enforcement actions taken,
as well as to address / remediate compliance risks identified through the Compliance Risk Assessment, desk reviews and other testing conducted by the Permanent Control Unit and Internal Audit reviews.

＜Training＞
●Conduct training to staff on topics as designated by our company Head of Compliance
●New hire training
●Annual training to meet regulatory requirements
●Targeted for specific groups of employees or covering specific topics is specified in the annual training plan
●Head Office directed training
●Tracking of staff completion of training and report/escalate to our company Head of Compliance

＜Other Responsibilities＞
● Assist in managing compliance issues as may from time to time be instructed by our company Head of Compliance
● KYC validation: Validate new client on-boarding process and conduct periodic review the existing client

●外資系証券会社での上記幅広いコンプライアンス業務経験必須
●ビジネス英語力