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Location

Work Type

Salary

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コンプライアンス(金融・弁護士有資格者尚可)

大手金融企業で活躍できるポジションです

Category Legal Affairs / Compliance
Salary 6 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3786590
Post Date 2014-07-23
Responsibilities
コンプライアンス全般における企画、立案に関する業務、当局対応
コンプライアンス(金融)

コンプライアンスのご経験を海外案件に活かしてください

Category Legal Affairs / Compliance
Salary 6 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3786583
Post Date 2014-07-23
Responsibilities
海外拠点のコンプライアンス態勢の維持・整備に関する業務
Legal and Compliance Manager

Tokyo based Legal and Compliance Manager

Category Compliance
Salary 8 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3868121
Post Date 2014-07-23
Responsibilities
- Reviewing of documents and responding to document requests by regulators, clients and relevant third parties

- Working closely with the Group General Counsel, Group Company Secretary and the team in Tokyo on matters effecting the Japan business

- Liaising with external counsel and business units on legal and compliance related topics

- Providing day to day compliance support in relation to applicable laws and regulations

- Be the point of contact for interactions with regulators and relevant parties

- Providing Internal Audit Support related to FIEL requirements
Compliance Senior Manager

Great mid-level compliance role

Category Compliance
Salary 10 - 14 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3869207
Post Date 2014-07-23
Responsibilities
- day-to-day Compliance coverage of the Japan businesses

- Providing applicable compliance feedback on relevant regulatory requirements for new products and businesses

- Making sure all relevant businesses and staff operating in Japan are in compliance with all applicable rules and regulations and licensing requirements

- Help develop and put in place policies, procedures and processes in relation to sales and trading safeguard commitments to regulators

- Developing, testing and reviewing compliance controls in trading to make sure internal protocols and regulatory requirements are being met

- Building productive relationships with regulators through proactive involvement in regulatory matters

- Help prepare and review responses to regulatory queries

- Reviewing an preparing regulatory reports, management reports and other ad hoc reports

- Other compliance matters and projects as defined by the Japan Head of Compliance
証券会社監査部

あなたの監査の経験を今、伸びている証券会社で活かしませんか

Category Internal Audit
Salary 8 - 13.5 M¥
Work Type Permanent
Location Tokyo
Ref.# MHASH 3780447
Post Date 2014-07-22
Responsibilities
*金融機関での内部監査のご経験、
*監査法人で、証券会社をはじめ、金融機関を監査されたご経験
Legal Officer - Insurance

Junior legal officer role based in Tokyo

Category Compliance
Salary 6 - 7 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3868029
Post Date 2014-07-22
Responsibilities
- Provide timely legal advice
- Review legal documents in Japanese and English
Central Compliance officer

Great junior Compliance position !

Category Compliance
Salary 7 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3887413
Post Date 2014-07-22
Responsibilities
- Process registration/de-registration
- Process and notify exam dates and results/continuing education trainings
- Update HR weekly movement to compliance master data/license tracker
- Conduct JSDA misconduct check
- Weekly new hire documents check (update file and send it to HR)
- Monthly reconciliation between HR monthly employee list and compliance master data
- Process invoices from JSDA: 20 min/month
- 15a-6 registration/termination
- Check regulatory sites, and create a list of notices to distribute to relevant recipients the daily regulatory notice mail
- Oversee process to confirm required explanations are provided to over visitors
- Chopping corporate seal on documents in the morning
- Attend monthly meeting
- Preparation for annual repot in COB system (COBTrac)
- COB test preparation and participation
- Carry out daily and monthly updates of insiders list
法務・コンプライアンス担当(金融)

ご経験を広範囲な法務・コンプライアンス分野で活かしていただけます

Category Legal Affairs / Compliance
Salary 8 - 11.5 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3985975
Post Date 2014-07-22
Responsibilities
-銀行の法務・コンプライアンス部門における諸業務全般
-経験により、法務・コンプライアンス部門内での所属チームを検討いたします
M&A

Chance to grow experience in M&A

Category Front Office
Salary 5 - 8 M¥
Work Type Permanent
Location Kanagawa
Ref.# JKAMI 3617585
Post Date 2014-07-18
Responsibilities
- All M&A Processes : from Targeting to Post merger
- Reporting to Controller and Representative Director
Internal Audit - Associate

Internal Auditor in Financial Firm

Category Internal Audit
Salary 8 - 11.5 M¥
Work Type Permanent
Location Tokyo
Ref.# TFUKU 3581511
Post Date 2014-07-18
Responsibilities
- Participation in planning and scooping reviews, meeting with key people within the area being reviewed to understand and walk through the business and technology processes and identifying the key risks and controls to be assessed.
- Preparation of the audit testing program and assessment of the adequacy of the design and operation of the controls associated with the key risks identified.
- Assessment of the risk and impact of the issues identified on reviews and production of the report to management.
- Follow up with clients on remediating of actions coming out of issues identified during audits.
- Ad hoc work on firm-wide projects around new processes or activities and investigation of incidents.
- Ongoing liaison with colleagues globally and internal and external stakeholders including regulators and external audit.
- Maintenance of internal client relationships and regular interaction with the business during the year to assess changes in the control environment and other matters arising in the business.
Equity Compliance - VP

Great Equity Compliance VP role

Category Compliance
Salary 15 - 18 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3707475
Post Date 2014-07-18
Responsibilities
- Reporting to the head of Equities Compliance (Equities Compliance is a part of Advisory Compliance & Monitoring Department)
- Responsible for Equities Compliance (Equity Compliance covers the businesses which mainly deal with listed products including listed derivatives etc. and currently there is more than 80 staff in the front office)
- Equities Compliance Role is: providing advisory, conducting training, implementation/updating policies and procedures, establishing good relationship with relevant authorities such as the relevant exchanges, JSDA etc. and handles regulatory inspections etc.
- It is expected to closely work with other Compliance functions such as Control Group & Research Advisory Department and Central Compliance Department etc.
- Form key partnerships with Compliance, Operations, Legal, and other important infrastructure groups.
- Interact and establish relationships with desk supervisors.
Central Compliance Officer

Compliance growth with market leader!

Category Legal Affairs / Compliance
Salary 8 - 12.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3729783
Post Date 2014-07-18
Responsibilities
-Play the advisory role to Business in areas such as Data Privacy, Staff On/Off-boarding, Off-shoring & Outsourcing, Customer Protection/Client Complaints, Personal Account Dealing to ensure compliance with laws, regulations and internal policies.
-Interfacing with Regional Compliance and other internal teams
-Establish and maintain strong regulatory relationships with Japan regulatory bodies
-Maintain the records of Compliance sign-off and due diligence
-Conduct compliance training and communication activities for all employees
-Conduct assessment exercises to evaluate the effectiveness of Core Compliance
-Lead and contribute to the implementation of policies and procedures location/legal entity wide
-Compliance information gathering and consolidation
-Prepare for BCP documents
-Monitor new laws and regulations and contribute to industry discussion and rule-making
Trade Surveillance Compliance Officer

Challenging compliance role!

Category Compliance
Salary 8 - 13.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3730421
Post Date 2014-07-18
Responsibilities
-Communication monitoring
-Trade surveillance
-Compliance testing
-Regulatory inquiries
-Position monitoring
コンプライアンスオフィサー(Associate / VP)

大手企業でしっかりとコンプライアンス業務の経験を活かしスキルアップが図れます

Category Compliance
Salary 11 - 15 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3704161
Post Date 2014-07-18
Responsibilities
売買管理部における
-コントロール・ルームでの法人関係情報管理
-売買規制等の業務、
-取引審査業務
Equity Compliance Officer - mid-level

Exciting role with Front Office exposure

Category Compliance
Salary 8 - 12.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3589366
Post Date 2014-07-18
Responsibilities
- Daily Trade Surveillance covering the regulatory requirements as well as the firm's commitments made in past inspections, using monitoring applications and procedures that have been developed for this purpose (including vendor applications).
- Learning about equities related regulations (incl. FIEA, JSDA Rules, Exchange Rules), and start off with handling the following issues:
Error handling ; Receiving adhoc inquiries to GECD Advisory Compliance
- Investigation and communication of issues identified from the monitoring and surveillance activities and work closely with the Business and Compliance advisors to solve issues.
Compliance Officer - Insurance

Stand alone compliance role

Category Compliance
Salary 7 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3861144
Post Date 2014-07-18
Responsibilities
- Liaise with regulators and prepare necessary documents.
- Maintain contact with industry associations and be involved in the preparation of necessary documents
- Perform relevant compliance checks ijn relation to the various business functions.
- Maintain books, documents and records required by laws and regulations.
- Liaise with lawyers when professional opinion would be required.
Head of Compliance - Bank

Senior banking compliance role

Category Compliance
Salary 12 - 16 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3921870
Post Date 2014-07-18
Responsibilities
- Maintain and implement the compliance risk management framework at the branch
- Assist the business in identifying mitigating controls
- Evaluate and advise on compliance and regulatory issues as they arise
- Develop and maintain an effective working relationship with internal stakeholders.
- Maintain responsibility for the design, implementation and on-going improvement of compliance policies
- Be responsible for contact with relevant Japan regulators including the FSA and the BOJ
- Assist business units in evaluating the impact of regulatory framework updates and changes and recommend relevant internal changes
- Contribute to the development of compliance training and awareness
Compliance Manager

Tokyo based Compliance Manager

Category Compliance
Salary 9 - 11.5 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3932783
Post Date 2014-07-02
Responsibilities
- Contribute to implementing compliance programs
- Contribute to reviewing and updating compliance manuals and related policies on a regular basis. Liaise with internal stakeholders.
- Contribute to preparing and conducting compliance training for employees
- Monitor the compliance with applicable laws and regulations related to the insurance business and the policies of business.
- Work with Head of Compliance in taking actions against changes in regulations,
- Maintain contact and liaise with the FSA and trade associations; share best practice with other compliance professionals
- Contribute to obtaining necessary business licenses/permission and filing changes
- Liaise and/or negotiate with and report to the regulators on an ad-hoc basis
Director, Head of Compliance

Tokyo based Head of Compliance Manager

Category Compliance
Salary 13 - 15 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3932782
Post Date 2014-07-18
Responsibilities
- Responsible for the Branch compliance with the Insurance Business Law and all other relevant Japanese and overseas regulations
- Implement annual compliance programs
- Review and update compliance manuals and other compliance rules and policies on a regular basis
- Conduct compliance training for employees periodically
- Monitor the Branch compliance with applicable laws and regulations related to the insurance business and the policies of business.
- Maintain contact with the FSA and trade associations share best practice with other compliance professionals
- In consultation with Legal assist with the review of contracts as necessary
Compliance VP - Asset Management

Leading Asset Management company

Category Compliance
Salary 8 - 15.5 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3944158
Post Date 2014-07-18
Responsibilities
- reviewing legal and compliance documents and contracts relevant to the business
- review and create internal rules and regulations
- provide timely advice to the business
- conduct compliance monitoring
- conduct compliance seminars and training
Compliance Officer

Exciting Trade Surveillance role!

Category Compliance
Salary 12 - 16 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3952394
Post Date 2014-07-18
Responsibilities
- Trade Surveillance (Cash Equities and Listed Derivatives, Cash Bond)
- Regulatory Inquiries
- eCommunication
- Outsourcing
引受関係ドキュメンテーション

証券会社経験者採用、ポテンシャル採用

Category Back Office / Operations
Salary 4 - 9 M¥
Work Type Permanent
Location Tokyo
Ref.# MHASH 3780446
Post Date 2014-07-01
Responsibilities
*株式引受・債券引受のドキュメンテーション業務
リスク・コンプライアンスマネージャー

リスク・コンプライアンスのご経験を活かして、幅広くご活躍いただけます

Category Compliance
Salary 7 - 9 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3993351
Post Date 2014-07-16
Responsibilities
-オペレーショナルリスク全般の継続的な評価と改善
-オペレーショナルリスク改善プロジェクトへの参加
-マーケティング関連書類のコンプライアンス遵守対応
-コンプライアンスとリスク方針の要件の定期的な見直し
コンプライアンス(アセットマネジメント)

グローバルHQにあたるオフィスでコンプライアンスのご経験を活かしていただけます

Category Compliance
Salary 12 - 16 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 4009286
Post Date 2014-07-15
Responsibilities
-ビジネスコンプライアンスに関する海外グループ会社との連携、プロジェクト管理
-セールス、マーケティング、商品、バックオフィス部門に対するアドバイスや指導
-販売・勧誘資料に関するアドバイスや指導
-ディスクロージャー書類に関するコンプライアンス審査
-贈答・接待に関するモニタリング業務
-マネーローンダリング・反社会的勢力排除に関するモニタリング業務
-関連社内規程類及びグローバルポリシーの策定、改廃、見直し
-事故やエラー案件への対応補助
-主務官庁・諸機関との協議
-その他、法令遵守、内部管理態勢に関する業務
リサーチ アナリスト

マクロ経済分析をされたい候補者をお探しです。

Category Credit / Market Risk
Salary 5 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# TTOMI 3856815
Post Date 2014-07-13
Responsibilities
*マクロ経済分析
*リスク管理
*ストレスシナリオの作成
不正調査

新しいスタンダードを一緒に作り上げていきたい方に適しています。

Category Back Office / Operations
Salary 7 - 9 M¥
Work Type Permanent
Location Tokyo
Ref.# TTOMI 3877408
Post Date 2014-07-13
Responsibilities
*不正調査にかかわる業務
*疑義を見つけ出す
*不正請求かどうかを見極める
*調査計画、結果に関連した報告書の作成
Operations Manager

オペレーションマネージャーのポジションの募集です。

Category COO
Salary 12 - 20 M¥
Work Type Permanent
Location Tokyo
Ref.# TTOMI 3943149
Post Date 2014-07-13
Responsibilities
*Responsible for local and international payments, FX support, new accounts, general branch admin, account reconciliation, loan and leasing, trade operations, banknotes, and securities support.
*Manage and oversee the day to day operations of the various teams to ensure the delivery of services in accordance with the agreed service level and expectations of the customers.
法務コンプライアンス (金融)

成長著しい企業で法務コンプライアンスの専門家としてご活躍ください

Category Compliance
Salary 6 - 8 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3992600
Post Date 2014-07-13
Responsibilities
-保険募集管理統括業務をはじめとするコンプライアンス業務全領域
-保険募集管理統括、募集関連資料の調査
-コンプライアンス・プログラムの推進および当局検査への対応も視野に入れたコンプライアンス体制向上全般
-社内規程やコンプライアンスマニュアルなどの体系的整備
-各種審査、点検、研修等の運営
フィールドコンプライアンス

成長著しい企業でコンプライアンスの専門家としてご活躍ください

Category Compliance
Salary 7 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3992605
Post Date 2014-07-13
Responsibilities
-生命保険契約における不詳事故業務全般
-不詳事故調査
-不詳事故届出書の作成
-不詳事故処分案の作成
-各種資料の作成
-会社の業務業態に即した制度改善および管理
Legal mangaer

Position at growing company

Category Compliance
Salary 7 - 9 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3896604
Post Date 2014-07-12
Responsibilities
Work as legal business partner to support business growth.
-renewable energy project development
-assist the legal work in corporate governance and risk control.
-handling legal disputes with external counsel
-provide legal advice and support to daily operation of Japan office
-such other legal work as assigned by HQ legal from time to time

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