Compliance Officer - Asset Management Company

勤務地 Tokyo, Japan
職種 正社員
給与 ¥14000000.00 - ¥18000000.00 per annum
専門 法務・知財・コンプライアンス,
Sub-specialization コンプライアンス, 企業内法務,
お問合せ Thierry Tinca
参照 JO-2004-438504
about Thierry Tinca

[Company Description]
Global Asset Management Company

[Responsibilities]

  • Conduct various compliance tasks (regulatory filing, compliance monitoring, personal account dealing, compliance training, issues/errors/complaints handling, global projects etc.) independently.
  • Conduct trade surveillance and provide compliance advice to the trade floor.
  • Provide advice on Compliance policies and procedures
  • Review marketing and other materials to be provided to clients and other external parties.
  • Address AML/CFT program.
  • Address and enhance risk management framework.
  • Manage interactions/inspections with external parties including internal auditors and regulatory inspectors.

[Requirements]

  • Strong verbal and written communications skills both in English and Japanese.
  • At least 3 years' experience in a compliance officer role at an asset management firm.
  • Good knowledge of financial products and financial regulatory compliance.
  • Good working knowledge of MS Word, Excel and other MS programs such as PowerPoint.
  • Ability to work under pressure with a fair degree of autonomy as well as in a team environment is essential.
  • Bachelor's Degree or above
  • Experience of working with global team.

[Desired Characteristics]

  • A strong leadership
  • A good communicator with all levels of management and have outstanding organizational skills.
  • Capability to handle and prioritize multiple tasks with tight time deadlines.

[Employment Type]
Full time

[Salary]
14 Million yen ~ 18 Million yen
(Experiences and skills will be considered)

[Location]
Tokyo

Please click "apply" if you are interested in the job.
We will review your profile and contact you within five business days should we find that you satisfy the requirements of the hiring company.
Further details about the company and position will be notified at a later date.