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外資系アセマネ会社でのコンプライアンス・オフィサー/求人ID:1271967

株式会社コトラ
募集継続中
職種
コンプライアンスオフィサー
ポジション
応相談
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〜1400万円(経験・能力を考慮の上当社規定により決定)
仕事内容
●Assist the Department Head to coordinate and complete compliance monitoring activities.
Review and approval of locally-issued marketing materials.
Assist the Department Head to ensure all company and the Group compliance policies are communicated to the
business.
Assist the Department Head to up to date and informed of regulatory developments affecting the asset
management industry in Japan.
Preparation of local and regional compliance reporting requirements.
Assist the Department Head to coordinate regulatory filings and submissions.
Assistance on other ad hoc business and regulatory compliance tasks, as required.
Assist the Department Head to conduct training and awareness sessions to ensure that staff/management in the
business are aware of relevant regulations, Compliance & conduct obligations, policiesand required actions.
Assist task involved in the secretariat of the internal committees.

As the position ensuring the 2nd level of control as defined in the Financial Security Generic Control Plan;
- To provide a staff training and advisory service to the business on financial security topics (KYC, AML, Sanctions screening)
- To provide a compliance opinion/risk assessment on KYC files and PEP/Sanctions alerts requiring an intervention.
- To perform a second level control per the FS Control plan, to assess and report on the adequacy of the local Financial
Security framework
必要スキル
ESSENTIAL QUALIFICATIONS & EXPERIENCE
Good experience in the financial industry
Experience in fund/asset management business is a major advantage.
Fluent in English (both written and spoken).
Good experience in providing administrative support for the team members when requested.
ESSENTIAL SKILLS/COMPETENCIES (TECHNICAL / BEHAVIOURAL / LEADERSHIP)
Self-starter and good communicator.
Good knowledge of local regulatory framework.
Competent to take flexible and collaborative approach to problem-solving.
Willing to assist in administrative type of tasks.
SPECIFIC QUALIFICATIONS & OTHER REQUIREMENT
JSDA (Japan Securities Dealers Association) required Internal Control Officer qualification would be advantageous
就業場所
東京都
就業形態
正社員
企業名
外資系投信投資顧問会社
企業概要
外資系投信投資顧問会社
企業PR
業務カテゴリ
組織カテゴリ
備考
関連キーワード
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