執行市場運営会社でのLegal Specialist, Compliance & Legalの求人
求人ID:1258139
募集終了
転職求人情報
職種
Legal Specialist, Compliance & Lega
ポジション
Legal Specialist, Compliance & Lega
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:〜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>
1. Management of internal rules controlled by our Compliance and Legal Department.
・ Assisting seniors to revise our internal rules, when there is a change in laws and regulations related to the rules
・ Monitoring the consistency between our Global Markets’ policies and the our rules with the assistance of seniors.
・ Regularly checking the relevance within the our rules and consistency of each rule.
2. Collecting information regarding laws and regulations related to us.
・ Striving to collect information on revisions to laws and regulations related to our business by
assisting seniors through meetings with authorities or external lawyers, and participation in external
seminars and so forth.
3. Compliance work
・Mainly assisting the manager in charge of central compliance work such as reporting to the authorities,
for example preparing periodic reports to the Financial Services Agency, creating periodic reports to the
Japan Securities Dealers Association, etc.
・ Responsible for Self-Inspection that regularly inspects the work-flow of each department.
・ Assisting the manager in charge in carrying out daily trading surveillance work.
・ Assisting seniors and providing advice on the work of other departments from the perspective of legal compliance.
4. Business related to the Risk Management Committee
・ Attending RMC and preparing minutes.
1. Management of internal rules controlled by our Compliance and Legal Department.
・ Assisting seniors to revise our internal rules, when there is a change in laws and regulations related to the rules
・ Monitoring the consistency between our Global Markets’ policies and the our rules with the assistance of seniors.
・ Regularly checking the relevance within the our rules and consistency of each rule.
2. Collecting information regarding laws and regulations related to us.
・ Striving to collect information on revisions to laws and regulations related to our business by
assisting seniors through meetings with authorities or external lawyers, and participation in external
seminars and so forth.
3. Compliance work
・Mainly assisting the manager in charge of central compliance work such as reporting to the authorities,
for example preparing periodic reports to the Financial Services Agency, creating periodic reports to the
Japan Securities Dealers Association, etc.
・ Responsible for Self-Inspection that regularly inspects the work-flow of each department.
・ Assisting the manager in charge in carrying out daily trading surveillance work.
・ Assisting seniors and providing advice on the work of other departments from the perspective of legal compliance.
4. Business related to the Risk Management Committee
・ Attending RMC and preparing minutes.
必要スキル
<Requirements>
1. Minimum of 3 to 5 years work experience in a financial institution. Experiences outside the Legal
Department or Compliance Department will also be evaluated,
2. Or, minimum 2 to 3 years work experience in the Legal Department of a company that is not a financial
institution,
3. Or, law school graduate (judicial qualification is not required) is preferred.
4. Desirable to have a bachelor’s degree in law
5. Native Level Japanese, Fluent in English
1. Minimum of 3 to 5 years work experience in a financial institution. Experiences outside the Legal
Department or Compliance Department will also be evaluated,
2. Or, minimum 2 to 3 years work experience in the Legal Department of a company that is not a financial
institution,
3. Or, law school graduate (judicial qualification is not required) is preferred.
4. Desirable to have a bachelor’s degree in law
5. Native Level Japanese, Fluent in English
就業場所
就業形態
正社員
企業名
株式取引執行市場の運営会社
企業概要
株式取引執行市場の運営会社
企業PR
組織カテゴリ
備考
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