投資顧問会社でのコンプライアンス業務の求人
求人ID:93825
募集終了
転職求人情報
職種
Legal & Compliance
ポジション
Senior Compliance Officer
おすすめ年齢
20代
30代
40代
50代以上
年収イメージ
応相談(イメージ 〜1500万円)
仕事内容
Monitoring
Investment
.Investment guidelines
.Best execution and fair allocation
.Large holding or 5% rule
.Turnover
.Cross-trade
.Short term transaction
.Anomalous transaction
.IPO Acquisition
.Derivative Transaction
.Deal error
.Transaction with interested party
.Voice recording
.Credit limit to brokers
.WVFJ value check
.JSC large cap holding check
.Official registrar filing check
.Insider transaction
.Front running
Investment trust
.Investment guidelines
.Best execution and fair allocation
.Turnover
.Cross-trade
.Short term transaction
.Anomalous transaction
.IPO acquisition
.Derivative transaction
.Deal error
.Voice recording
.NAV calculation
.Official registrar filing check
.Insider transaction
.Front running
Business and Marketing
.Review of marketing document proposing to distributors
.Review of marketing document distributing to investors
.Review of marketing document filing at authorities and associations
.Review of trust deed, prospectus, offering memorandum, amendment of prospectus, explanatory memorandum
.Review of investment report, semi-term investment report, extraordinary investment report
.Monthly and weekly investment report
.Advertisement
.Review
Compliance of laws and regulations
.Pre-clearance of personal deal, holding declaration
.Reception of gift and entertainment
.Insider transaction
.Monitoring law and regulation change
Agreement or contract
.Drafting investment advisory agreement, discretionary agreement in Japanese and English
.Review of investment advisory agreement, discretionary
.Drafting protocol of Article 14 and 15 of Investment Advisory Law
.Conclusion and revision of investment agreement
.Drafting memorandum
.Drafting and revising investment guidelines
Reporting and advice to CEO
.Compliance issues
.Internal control
.Disciplinary or rewarding actions
.Human resource
Reporting to the Group
.Monthly compliance report
.Quarterly compliance report
.Money laundering report
.Risk-based compliance self assessment
Risk Management
. Cover the overall company risk management and control
. Chair the Risk Management Committee
Corp secretariat
. Secretariat work for holding BOD and share-holders Meeting
-Scheduling and document preparation
-Minutes taking
Investment
.Investment guidelines
.Best execution and fair allocation
.Large holding or 5% rule
.Turnover
.Cross-trade
.Short term transaction
.Anomalous transaction
.IPO Acquisition
.Derivative Transaction
.Deal error
.Transaction with interested party
.Voice recording
.Credit limit to brokers
.WVFJ value check
.JSC large cap holding check
.Official registrar filing check
.Insider transaction
.Front running
Investment trust
.Investment guidelines
.Best execution and fair allocation
.Turnover
.Cross-trade
.Short term transaction
.Anomalous transaction
.IPO acquisition
.Derivative transaction
.Deal error
.Voice recording
.NAV calculation
.Official registrar filing check
.Insider transaction
.Front running
Business and Marketing
.Review of marketing document proposing to distributors
.Review of marketing document distributing to investors
.Review of marketing document filing at authorities and associations
.Review of trust deed, prospectus, offering memorandum, amendment of prospectus, explanatory memorandum
.Review of investment report, semi-term investment report, extraordinary investment report
.Monthly and weekly investment report
.Advertisement
.Review
Compliance of laws and regulations
.Pre-clearance of personal deal, holding declaration
.Reception of gift and entertainment
.Insider transaction
.Monitoring law and regulation change
Agreement or contract
.Drafting investment advisory agreement, discretionary agreement in Japanese and English
.Review of investment advisory agreement, discretionary
.Drafting protocol of Article 14 and 15 of Investment Advisory Law
.Conclusion and revision of investment agreement
.Drafting memorandum
.Drafting and revising investment guidelines
Reporting and advice to CEO
.Compliance issues
.Internal control
.Disciplinary or rewarding actions
.Human resource
Reporting to the Group
.Monthly compliance report
.Quarterly compliance report
.Money laundering report
.Risk-based compliance self assessment
Risk Management
. Cover the overall company risk management and control
. Chair the Risk Management Committee
Corp secretariat
. Secretariat work for holding BOD and share-holders Meeting
-Scheduling and document preparation
-Minutes taking
必要スキル
A team player with a strong sense of loyalty and commitment to quality
Good communication, facilitation and presentation skills
Dependable, disciplined and consistent
Ambitious, innovative, and resourceful
Customer service orientated
Good communication, facilitation and presentation skills
Dependable, disciplined and consistent
Ambitious, innovative, and resourceful
Customer service orientated
就業場所
就業形態
正社員
企業名
外資系投資顧問会社
企業概要
英国最大手の生命保険会社を核とするグループの資産運用会社で150年の歴史。「安定性」が重視される生命保険や年金、投資信託の資産運用が中心。アジア投資に強みあり。
企業PR
業務カテゴリ
組織カテゴリ
備考
Able to represent the company in acquisition and due diligence activities at te highest level and project manage teams when necessary.
証券・金融での経験必須
証券・金融での経験必須
コンプライアンスの求人情報
外資系金融機関の求人情報
欧州系の求人情報
転職体験記
- 希望退職に応じた末の再就職、ヘルスケア系上場ベンチャーへ(50代/男性/私立大学卒)
- 日系SIerから大手携帯電話通信キャリアへ(30代/男性/私立大学卒)
- 機械メーカーを定年退職後の再就職、地方銀行へ(60代/男性/国立大学院卒)
- 金融業界での経験を活かして、投資運用会社へ(60代/男性/国立大学卒)
- 損害保険会社でのコンプライアンス業務に専念すべく転職を決意(30代/女性/私立大学卒)
- グローバル企業での経験を活かしつつ新たなチャレンジ、有名チェーン店等を運営する外食企業へ(30代/男性/私立大学卒)
- 物流業界へのこだわり、大手商社設立の食品EC企業へ(40代/男性/私立大学卒)
- 2回目の転職も同じコンサルタントで、大手日系信託銀行へ(40代/男性/私立大学卒)
- 大きな可能性を感じられる企業へ転職、損害保険会社へ(40代/女性/国立大学院卒)