外資系運用会社でのコンプライアンス業務の求人

【Responsibilities】
● Investment/Trading compliance: daily checking and monitoring of trading data for cross trade, short term trading, market abuse and best execution as well as guaranteed price transactions.
★Answering to queries from fund managers and traders, providing/rejecting approval for specific transactions when needed, keeping abreast of regulatory environment and best practices in this field.
● Review of the firm’s documents (including legal documents) to be delivered to clients, distributors and authorities under the FIEL, ITM law. and JITA and JIAA rules.
★Specific focus on providing recommendations and advices to the Retail business for new fund launches.
● Preparing and filing information/documents to the regulatory agencies (FSA, KLFB, JITA and JIAA)
●Ensuring the firm’s activities adhere to the requirements by the regulatory agencies, as well as with the firm’s internal compliance standards (including personal trading and gift and entertainment)
●Reporting of the compliance activities to the compliance committee, and our group Compliance business line.
●Keeping updated the internal regulations and rules with laws, regulations and rules, and establishing new internal guidelines and procedures.
●Working with other department regarding overseas regulations such as FATCA, EMIR, OFAC.
●Giving necessary instruction and guidance to the staff of the Company for the compliance matters.

● 3 or more years experience in the internal control field (compliance, legal, risk management and audit) preferable
● Proficiency in English
● Strong interpersonal and communication skills
●Technical Requirements: MS Office tools (Excel, Word, Outlook, Power Point)
●Bachelor’s Degree