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外資系運用会社でのコンプライアンス業務/求人ID:96428

募集終了
株式会社コトラ
職種 外資系運用会社におけるコンプライアンス担当
ポジション シニアクラス
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50代以上
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仕事内容 ●投信投資顧問会社における法務・コンプライアンスに係る業務全般
●The candidate needs to have experience in investment compliance advisory/monitoring and good knowledge of onshore regulations especially for Japan investment trust (Toshin fund). In addition this position requires the candidate language skillsets in professional writing /
communication both in Japanese and English.

●Conduct compliance advisory on all compliance matters.
●Handle trade surveillance according to the local regulations such as cross trade and insider trading monitoring using relevant instruments.
●Handle compliance monitoring in accordance with the annual Compliance Monitoring Program in the areas such as Insider trading, Know Your Client/Anti-Money Laundering.
●Develop effective risk based Compliance Monitoring Program in consultation with Head of Compliance.
●Create/update internal rules and guidelines in line with local regulations and group policies and provide internal trainings/announcement - mainly in investment area.
●Oversee personal staff dealing and gift & entertainment.
●Handle regulatory filing and reporting to FSA, JITA and JIAA including coordinating with relevant internal functions for production of the reports.
●Follow relevant onshore regulations (especially FSA, JITA and JIAA rules) and overseas regulations, especially those for Toshin fund Business & products. Review and assess the impact to business. Identify key concerns and discuss with Head of Compliance and the Management members.
●Create/update compliance policies and procedures.
●Provide internal trainings relating to regulatory requirements and group/local compliance policies and issue announcements of changes in regulations and group/local compliance policies.
●Prepare and participate in SESC inspection.
●Handle of regulator communication in consultation with Head of Compliance.
●Handle of Risk event (compliance angle only).
●Prepare for and participate in Compliance Committee.
●Help to build a strong compliance culture.
●Participate in cross functional work groups.
必要スキル ●運用会社での当該業務経験(主にリテール投信)
●証券会社・信託銀行の運用部門でのコンプライアンス業務経験可
●5年以上の法務コンプライアンス関連業務経験
●ビジネス英語力

●More than 5 years working experience in compliance, risk management, legal or audit in financial industries (experience in Asset Management firms is preferred).
●Strong command of English with the native level of Japanese.
●Must have excellent communication skills in Japanese including professional writing.
●Have good knowledge and experience (understanding) on the relevant local regulations , especially those for Japan Investment Trust (Toshin Fund) Business & products.
●Possess IT skills on: Microsoft Excel, Word, PPT and other general IT tools.
就業場所 東京都
就業形態 正社員
企業名 外資系運用会社
企業概要 外資系運用会社
企業PR
業務カテゴリ コンプライアンス 法務
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 運用会社

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