金融、IT、コンサル、製造業、経営層の転職支援に特化した転職支援サービス【コトラ】

金融、IT、コンサル、製造業、経営層の転職支援に特化した転職支援サービス【コトラ】

外資系アセマネ会社でのコンプライアンス業務〜インベストメントガイドラインモニタリング及びAMビジネスライン〜/求人ID:138142

募集継続中
株式会社コトラ
職種 Investment Guideline Monitoring and AM Business Li
ポジション Position Head,VP-
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:1000万円〜1800万円(経験・能力を考慮の上当社規定により決定)
仕事内容 ●Overview
New position has been the key staff in AM Compliance team, responsible for any aspects of Business Line Compliance (BLC) and Investment Guideline Monitoring (IGM) as well as providing full support to head of AM Business Line Compliance, for covering AM business lines in operating legal entities .
Overseeing the Retail, Institutional and Alternative AM Businesses in Japan to mitigate compliance risks.
AM Business Line Compliance Officer is expected to carry out the following principal responsibilities:
Role Description:

<Business Line Compliance >

Business Line Compliance role includes new product approvals, day-to-day advise to the business, various documentation review, monitoring firewalls, handling of matters relating to the Code of Ethics, review of policies and procedures, managing conflicts of interest, regulatory developments, conducting compliance training and compliance risk assessment and creating Management Information Report on a regular basis, and other BLC related tasks from time to time.
<Investment Guideline Monitoring (IGM)>

Conducting transaction monitoring on regular basis such as daily, weekly, monthly etc as well as ad-hoc basis to detect breaches or potential breaches of laws and regulations.
Reviewing new fund set-up using related systems for accuracy with Investment Guidelines or Trust Deeds
Participating in key important projects such as new system platform and providing compliance value-added support to the projects, closely working with Investment Management team and other relevant department.
必要スキル The candidate will have:

Fiduciary Mind set
Work experience in financial industry and Japan Market knowledge
Knowledge in Asset Management business
Knowledge of relevant laws and rules (e.g. Investment Trust, Investment Advisory etc.)
Compliance experience preferable
The candidate will be required:

Ability to work unsupervised and be strong team player, supporting other team members and building
Credible and sustainable relationship within the team, other members of the Compliance function and with supporting business
Ability to play supportive role as a BLC and IGM officer with strong communication skills
Ability to take on company-wide project such as system implementation if required
Ability to complete multiple tasks accurately and efficiently
Native Japanese and Business Level English (both writing and verbal)
Advanced skills in Microsoft office, EXCEL, WORD etc.
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 ドイツ銀行グループの一員で約100兆円超の運用資産総額を有する世界最大級の資産運用グループです。東京、ニューヨーク、ロンドン、フランクフルト、シドニーをはじめとする世界30都市以上に運用および営業拠点を設置。総勢5000人を超えるスタッフがさまざまな資産運用サービスと商品のご提供に取り組んでいます。 

日本法人では公募投信約5300億円、私募投信約6800億円の残高。従業員73名
企業PR
業務カテゴリ コンプライアンス
組織カテゴリ 外資系金融機関
備考
関連キーワード 投信投資顧問 recommended

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