リスク・コンプラ（金融）、2000万以上の転職求人

4 件

We are seeking a Chief Compliance Officer East Asia to join our Tokyo office. The CCO East Asia, which includes Japan and Korea, manages and mentors a team of four and reports to the Global Head of Compliance. The firm’s east Asia business has a broad array of equity, fixed income and alternatives mandates. The CCO is responsible for leading all efforts to implement, manage and maintain a best in class compliance program, ensuring a high degree of coordination with the firm’s global compliance program.

【Key Responsibilities】
●Compliance
Corporate governance, including compliance committee administration
Registration, launch, and ongoing operation of domestic investment trusts (投資信託)
Discretionary investment contract (一任契約) compliance oversight
Private Equity-related compliance matters
Regulatory filings and reporting to the FSA and industry associations (e.g., JITA, JIAA)
Regulatory examination and association inspection response
Gifts & Entertainment (G&E) policy management
Insider trading prevention and monitoring
Investment/trading compliance
AML/CFT and internal audit-related matters

●Cross-functional & Global Coordination
Serve as the primary compliance interface with senior management and business-side stakeholders, navigating complex discussions with tact and sound judgment
Coordinate proactively with global compliance, translating global requirements into locally actionable frameworks while managing differences in Japan’s regulatory environment and market practice
Collaborate closely with the Legal team, which provides strong regulatory support to Compliance