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外資系資産運用会社でのSenior Compliance Officerの求人

求人ID:94997

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転職求人情報

職種

Senior Compliance Officer

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:1500万円程度)

仕事内容

・To correspond with the FSA and other regulatory bodies. To prepare and submit regulatory reports to clients and relevant authorities;
・To establish and maintain the Company’s compliance programs including compliance manuals, etc. integrating new laws and regulations;
・To ensure and monitor fund management, trading and operational activities in compliance with regulations, restrictions, policies and guidelines;
・To ensure and monitor marketing materials and reports sent out to clients or prospective clients in compliance with regulations and restrictions;
・To review and pre-clear personal securities trading and holdings, and monitor insider trading and AML;
・To deal with complaints and individual privacy information control;
・To review contractual documents;
・To provide compliance training and update staff with law and regulation changes; and
・To support other projects from a compliance perspective.
・Supervise and coordinate work of junior staff

必要スキル

<must>
・Proficiency in English
・PC Skills
・Experience of compliance in asset management business

就業場所

就業形態

正社員

企業名

外資系資産運用会社

企業概要

外資系資産運用会社

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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