Senior Compliance Officer　求人詳細情報

Senior Compliance Officer [ID:38732]新着求人

想定年収

別途ご案内致します

仕事内容

• Provide compliance advice and support to the ongoing operations and future business development in Japan ensuring adherence to the latest rules, regulations, and regulatory expectations.
• Liaise with regulators in Japan, such as the Financial Services Agency of Japan (JFSA), to ensure compliance with statutory rules and regulations and handle regulatory requests, inquiries, filings/reports, notifications, and onsite examinations.
• Monitor regulatory changes applicable to the Japan business and provide timely advice.
• Review sales and marketing materials, documents and external communication to ensure adherence to applicable statutory rules and regulations and industry best practice.
• Maintain and update Compliance Manual and relevant compliance policies and procedures to ensure business operations and practice are consistent with the latest local regulatory requirements and Group policies.
• Oversee licensing matters, compliance monitoring program and tasks delegated to the Group’s Compliance support teams.
• Provide compliance advice/input on complaints, operational errors, incidents, breaches, and corresponding risk-mitigating actions to prevent re-occurrence.
• Provide compliance advice/input on internal and external due diligence requests, and requests for proposal (RFP).
• Review Regulatory Reports including Substantial Shareholders Reports.
• Handle requests from internal and external audits.
• Conduct regular risk assessments to identify potential compliance risks and develop strategies to mitigate them.
• Design and deliver compliance training programs to ensure that all employees are aware of their compliance obligations.
• Provide support to the Head of Compliance, Japan to maintain an effective compliance framework and promote a strong compliance culture.
• Participate in local, regional and/or global compliance initiatives, projects and other ad-hoc compliance duties as assigned.

必要経験

• A minimum of 8 years of relevant experience in the financial services industry, preferably gained through practical experience in regulatory/business compliance in asset management companies and/or regulatory authorities in Japan
• Extensive knowledge of legal and regulatory requirements applicable to the asset management industry in Japan
• Strong oral and written communication skills in both English and Japanese
• High integrity and excellent work ethics
• Strong problem-solving skills
• Ability to lead and coach team members
• Flexibility, enthusiasm and a willingness to learn and develop new skills and knowledge, and adapt to the growing business needs of the Company

予定勤務地

東京都港区

企業名

社名非公開：外資系大手運用会社

類似する求人情報はこちら

• ミドル／アソシエイト～マネージャー
• 正社員