外資系アセマネ会社でのHead of Complianceの求人

ROLE DESCRIPTION AND PURPOSE
Responsible for advising on and controlling Compliance activities within Our Group Asset Management, in
accordance with local regulatory requirements, Our Group Asset Management and Group Compliance standards. As “Naibu Kanri Sekininsya” / “Internal
Administrator”, exercise an oversight Sales units conducts to ensure a full compliance with the laws and regulations governing Type 1 Type
I Financial Instruments Business.
Expected to develop and maintain a robust Compliance culture and organisation at management and operational levels of the business.
Ensures that policies and procedures issued by Group and AM Global Compliance functions are implemented locally so that
Compliance associated operational risks are correctly identified and addressed, in particular through relevant controls and compliance
monitoring plans.
Managing the Compliance support staff.

COMPETENCIES (TECHNICAL/BEHAVIORAL/LEADERSHIP)
An in-depth knowledge of the asset management industry, preferably within a global institution (minimum of 10 years
Compliance/Legal experience with at least 5 years experience in a managerial role)
A legal qualification would be advantageous
Strong communication and influencing skills
Proficiency to use multiple, complex reporting tools
Acts at all times with integrity and as a role model on the Group’s corporate values
Maintains independence whilst providing partnership to the local business
SPECIFIC QUALIFICATIONS & OTHER REQUIREMENT
Fluency in English and Japanese essential (written and spoken)
JSDA (Japan Securities Dealers Association) required Internal Control Officer qualification would be advantageous
Cultural awareness ability to deal with different cultures and business lines