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Compliance Manager [ID:35000]
- 想定年収
- ベース： ～1500万円＋インセンティブ
- 仕事内容
- • Assist in the provision of compliance advice / monitoring support in meeting both local and global compliance standards, identifying regulatory changes and communicating these to the business;
• Assist in establishing and developing appropriate and effective internal compliance policies and procedures to ensure compliance with regulatory requirements, internal compliance policies and procedures;
• Review and approve marketing materials and publications;
• Provide advice for marketing on a cross-border basis;
• Provide advice on Real Estate investment management business (TMK, GKTK scheme) from a regulatory perspective.
• Provide advice on AML/KYC process based on group policies and local regulations as a 2nd LOD
• Provide advice on Third Party Risk Management process based on group policies and local regulations.
• Advise on regulatory change and assist and contribute in the operationalization of the changes;
• Review and approve conflicts of interest reported, including outside business activities reported;
• Review and approve personal account deals;
• Perform checks and reconciliations to ensure personal account deals are in compliance with local and global compliance standards;
• Perform Investment Guideline Monitoring / Trade Surveillance;
• Maintenance of Compliance modules to ensure compliance with local and global compliance standards;
• Provide advice on licensing requirements (Investment Management license including Real Estate business, Investment advisory/agency license including Real Estate business, Type II licence and Real Estate Brokerage license), including entity and individual representatives;
• Registration of licence/ regulatory applications where applicable, including entities and individual representatives;
• Work together with relevant business units on new business initiatives and projects, highlighting and addressing specific compliance and regulatory concerns;
• Conduct compliance training on material regulations and internal compliance policies;
• Perform regulatory filings based on Financial Instruments and Exchange Act, Real Estate Brokerage Act, Act on Protection of Personal Information and relevant laws and regulations.
• Assist in the reporting to the board and management of key compliance initiatives, risks and issues to the management, including highlighting key compliance issues and significant regulatory developments;
• Assist in any other ad-hoc compliance related projects - 必要経験
- • University degree (majoring in Legal/ Accountancy / Finance preferred) or other relevant professional qualifications
• Preferably 5 to 8 years’ compliance experience in the asset management industry including Real Estate business– preferably derived from a global/regional asset manager
• Strong Knowledge on Investment Management Business for both traditional assets and real estate
• Good Japanese regulatory knowledge
• Ability to multi-task and prioritise independently
• Proactive and enthusiastic attitude with the ability to work well within teams
• Attention to details, strong analytical and communication skills
• Strong English language skills (both verbal and written) required
• Monitor progress against plan and budgets, flexing priorities and resources accordingly
• Review core KPIs and report on Marketing impact - 予定勤務地
- 東京都千代田区
- 企業名
- 社名非公開：英国系金融グループの日本における資産運用会社
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