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Trade Surveillance Compliance Officer

Challenging compliance role!

Category Compliance
Salary 8 - 13 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3730421
Post Date 2016-05-12
Responsibilities
-Communication monitoring
-Trade surveillance
-Compliance testing
-Regulatory inquiries
-Position monitoring
Central Compliance Officer

Compliance growth with market leader!

Category Legal Affairs / Compliance
Salary 8 - 12 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3729783
Post Date 2016-05-27
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
海外内部統制・監査

伊藤忠・みずほ母体総合ファイナンス大手

Category Internal Audit
Salary 7 - 10 M¥
Work Type Permanent
Location Tokyo
Ref.# YSHIM 4555755
Post Date 2016-05-26
Responsibilities
■海外拠点監査(年3から5回程度 の出張監査)、英文資料の作成・監査、英語での現地ヒアリング など

■海外拠点内部統制評価、内部統制整備指導・助言
海外拠点の英文規程類の査読、内部統制評価に係る英語でのコミュニケーション
シニアコンプライアンスマネージャー

大手日系アセットマネジメント会社にてコンプライアンスオフィサー(シニアレベル)を募集しております

Category Legal Affairs / Compliance
Salary 12 - 16 M¥
Work Type Permanent
Location Tokyo
Ref.# MTOYO 4264921
Post Date 2016-05-26
Responsibilities
-顧客資産の運用状況及びトレーディングのモニタリング
-法人関係情報に関する業務管理
-大量保有報告書・変更報告書の提出(日本株式)
-従業員個人取引の承認と事後管理
-業務ミス処理の確認と指導(運用部門関連)
-運用部門関連の社内規程類の整備
-運用部門へのトレーニングの実施
Legal and Compliance Manager

Provide legal support in Pakistan, Bangladesh, Sri Lanka.

Category Compliance
Salary 1,200,000 - 2,000,000 INR
Work Type Permanent
Location South India
Ref.# TULIK TULIK025
Post Date 2016-05-25
Responsibilities
Compliance Environment and Practice
Establish compliance standards and compliance frameworks based on internal policies (e.g., Code of Conduct, AP3 and SOPs) and local law and regulations
Conduct on-boarding as well as continuous training on compliance standards, business practices and current developments.
Promote Compliance Standards
Champion speak-up, transparency and a culture of integrity throughout the organization
actively involve country leadership to leverage integrity messages and maintain high level of awareness
Foster ethical behavior by promoting the inclusion of compliance criteria in management and associates objectives
Enforce Compliance Standards
Conduct compliance risk assessments including third-party due diligence/audits
Develop processes to self-monitor the compliance program on country level
Regularly update country leadership and global compliance on the status of the compliance program
Country Legal Support
Provide Legal advice to the country leadership and business units on various aspects of Legal & Compliance.
Lead and support various legal projects or initiatives.
Actively engage in industry associations and other compliance related stakeholder groups.
ジュニア法務担当(企業内弁護士)

グローバルな環境で国際法務を学びながら企業内弁護士としてご活躍頂けるポジションです。

Category Legal Affairs / Compliance
Salary 12 - 15 M¥
Work Type Permanent
Location Tokyo
Ref.# MTOYO 4265744
Post Date 2016-05-23
Responsibilities
-企業法務、商事法務全般
-取引企業との契約書作成・レビュー
-M&A(国内外)の対応
-ビジネス上の法的リスクへの対応
--その他各種リーガル・コンプライアンスサポート
コンプライアンス(AML)

銀行、投資、信託等、様々な業務で経験を活かしてください

Category Legal Affairs / Compliance
Salary 8 - 14 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 4610350
Post Date 2016-05-21
Responsibilities
主にコンプライアンス部門内のマネーロンダリング防止・顧客確認(AML/KYC)を担当する部署で、ビジネス部門の顧客確認やサポートを担当するお仕事です。
加えて、顧客保護態勢や顧客サポート態勢等に関するコンプライアンス業務にも広範囲にかかわっていただきます。
-コンプライアンス(特にAML/KYC)に関する企画・モニタリング業務
-犯罪収益移転防止法の再改正への対応
-AML/KYCや反社会的勢力、経済制裁に関する問い合わせへの対応や問題の見直し
-顧客確認(KYC)ならびにその他新システム構築プロジェクトへの参加
-社内規程の整備、コンプライアンス研修の企画・実施
Senior Legal & Compliance

An excellent job opportunity.

Category Legal Affairs / Compliance
Salary 500 - 1,200 USD
Work Type Permanent
Location Ha Noi
Ref.# NLE 1125768
Post Date 2016-05-20
Responsibilities
• Manage guidelines, policies and compliances in accordant with local law/regulation
• Being legal advisor on relevant issues
• Review contracts and agreement of the company
• Communicate guidelines and compliance policies to all divisions
• Prepare and analyze report of compliance status
• Collect information as well as follow up divisions on compliance issues
• Deliver compliance program activities
• Train and implement induction programmes
• Additional tasks related to risk management
コンプライアンスAVP(銀行)

幅広い銀行コンプライアンス業務をご経験いただけます

Category Compliance
Salary 5 - 8 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 4665250
Post Date 2016-05-20
Responsibilities
ンプライアンスに関わる以下の事項:
 ・各種コンプライアンス態勢の整備、関連部署との連携
  -関連規定・マニュアル等のプロセス整備
  -行内周知
 ・各種分析、報告資料等の作成
 ・その他コンプライアンス関連全般
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 - 12 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3985975
Post Date 2016-05-19
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
コンプライアンス アナリスト(金融)

業界グローバルNo.1企業で幅広く活躍いただけます

Category Compliance
Salary 6 - 9 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 4328123
Post Date 2016-05-19
Responsibilities
-コンプライアンスプログラムjの策定と実施
-疑わしいトランザクションの調査と分析
-AMLコンプライアンスサポート
-財務局提出書類の準備と作成
-コンプライアンスオフィサーのサポート
大手証券会社:ジュニアコンプライアンス(ポテンシャル採用)

コンプライアンス業務を学びながら大手証券会社にてご活躍いただけるポジションです。入社後のトレーニング有り(第二新卒・ポテンシャル採用)

Category Compliance
Salary 5 - 12 M¥
Work Type Permanent
Location Tokyo
Ref.# MTOYO 4420007
Post Date 2016-05-18
Responsibilities
-国内・海外案件やリサーチレポートに係るコンプライアンス面での照会対応
-コンプライアンスに係るモニタリング全般
-疑わしいトランザクションの調査と分析
-コンプライアンスオフィサーのサポート
パラリーガル担当

グローバルな環境でアセットマネジメント会社でのパラリーガルとしてご活躍頂けるポジションです。

Category Legal Affairs / Compliance
Salary 6 - 9.5 M¥
Work Type Permanent
Location Tokyo
Ref.# MTOYO 4352651
Post Date 2016-05-15
Responsibilities
-法務部で必要な情報サーチ
-翻訳文書(和文英訳ならびに英文和訳)チェック
-法務関係のレポートの作成
-契約書ドラフト作成、契約書レビュー
[URGENT] Compliance Analyst

Opportunity to work at a well known US asset management firm as part of their Compliance division

Category Compliance
Hourly Rate 1,750 - 2,000 JPY
Work Type Temporary
Location Tokyo
Ref.# ALEE 4370185
Post Date 2016-05-15
Responsibilities
As a Compliance analyst within the firm, you will be primarily supporting the compliance division for their day to day. This will involve your participation in organising and devising training sessions, as well as assessing and revising policies. Elements of trade surveillance and documentation reviewing will also be the norm as part of your daily activities in this role as a Compliance analyst.
Equity Compliance - VP

Great Equity Compliance VP role

Category Compliance
Salary 15 - 18 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3707475
Post Date 2016-05-12
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.
Compliance Officer

Exciting Trade Surveillance role!

Category Compliance
Salary 12 - 16 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3952394
Post Date 2016-05-12
Responsibilities
- Trade Surveillance (Cash Equities and Listed Derivatives, Cash Bond)
- Regulatory Inquiries
- eCommunication
- Outsourcing
Finance Manager

Competitive package

Category Back Office / Operations
Salary 2,800 - 3,500 USD
Work Type Permanent
Location Ho Chi Minh
Ref.# TLE 1128090
Post Date 2016-05-12
Responsibilities
The Finance Manager position is the lead manufacturing finance resource for plant. Individual will partner with the Director of Operations to support operational analytical and control needs and take a leadership role in cost containment activities. In addition, the Finance Manager will work closely with the Cost Accounting Team, the Shared Service Accounting group, manufacturing analysts from other NA sites and the Director of Finance Operations and Supply Chain to implement standard processes and procedures.
Key job requirements include strong analytical skills, demonstrated knowledge of manufacturing costing, strong orientation to action, a sense of urgency, and demonstrated ability to lead process improvement activities. Strong accounting and financial knowledge and ability to effectively communicate both orally and written is critical
Compliance Officer - Asset Management

An attractive junior compliance opportunity with a reputable firm

Category Compliance
Salary 10 - 12 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 4379380
Post Date 2016-05-12
Responsibilities
- Assist in providing advice to the business in their day-to-day operations, including products and business initiatives;
- Assist resolving general compliance and investment alerts,
- Assist in reviewing marketing materials;
- Assist in regulatory filings/audits;
- Assist in developing and drafting compliance policies and procedures,
- Keeping up-to-date with relevant regulatory changes
Compliance Officer - Trade Surveiillance

This is an exciting compliance role in a well established organization

Category Compliance
Salary 8 - 12 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 4364756
Post Date 2016-05-12
Responsibilities
- Daily review of surveillance reports,
- Suggestions for improvements to existing reports
- Work with global counterparts, IT and/or vendors in developing new surveillance models;
- Documentation of surveillance results.
- Respond to regulatory inquiries
- Assist with surveillance work in other areas