外資系運用会社でのChief Compliance Officerの求人

Division: Compliance (including Legal function)

1. Prepare for and deal with external and internal audits and examinations including the ones
that may be conducted by Global Internal Audit, external auditors, Self-Regulatory
Organizations (JITA and JIAA) or SESC. Manage regulatory relationship.

2. Determine company’s businesses be performed in compliance with applicable laws and
regulations by reviewing results of self-assessment (RCSA) and by independently
monitoring businesses in accordance with the compliance monitoring program submitted
to Global Compliance. Conduct compliance training for all staff with respect to the
applicable laws and regulations, group policies, etc.

3. As the chairman of BRMC (Business Risk Management Committee), contribute to
enhancement of business risk management of the company by making the most of the
committee’s functions such as identifying, evaluating, measuring, monitoring and
addressing material business risks. Report BRMC proceedings to Global Compliance.
Provide input and participate as a member of other committee meetings.

4. Meet business’s demands and requests on compliance and legal matters in a timely
manner. Work closely with Legal Officer in other country, who is overseeing company’s legal
matters, to accomplish work related to legal matters. Review policies and procedures and
create/update them as necessary. Review Product Committee’s agendas to determine
regulatory and control issues are addressed.

5. Review all sales and marketing materials before being used by the respective units for
compliance with local and internal requirements. Update Compliance Manual and
Compliance Procedure Manual. Deliver and maintain Compliance Plan and Regulatory
Matrix. Review errors and complaints.

Should have over 10 years Compliance experience in the asset management business.