給与 ¥8000000 - ¥12000000 per annum
担当コンサルタント Lester Montes Silva
A global giant in asset management is searching for an individual with strong knowledge of financial industry regulations and requirements to join their team in Japan in the role of Compliance. The successful candidate will be an experienced professional with good English skills.
- Advise and support all aspects of the Japanese business from a compliance and regulatory perspective and manage relationships with regulators
- Review new product/business initiatives; document and implement new rules and regulations and ensure the business meets the required compliance standards; prepare and implement new policies and procedures with a focus on Japan operations
- Develop and maintain key relationships with the FSA and JSDA; coordinate regulatory visits by the FSA and JSDA and implement any recommendations in a timely manner
- Lead internal investigations of potential breaches of regulatory requirement and policies in Japan and coordinate reporting to regulators
- Monitor changes to the regulatory environment and identify the impact of changes to the Japan business; provide trade surveillance monitoring for the trading of Japan securities
- 6+ years’ experience in a financial institution compliance, audit role or similar function; 4+ years’ experience in Japan
- Good knowledge of FSA and JSDA guidelines and requirements as they relate to brokering and electronic trading
- Good understanding of the regulatory framework governing IT systems and front, middle and back office operations
- Solid understanding of the information technology space (network, hardware, software)
- English language skills
About the Company:
An asset management company servicing major organisations around the world, this organisation operates a trading network that collectively manages trillions of dollars worldwide. It has received awards for the quality of its workplace.
法令遵守, 規制関連, 資産管理, 資産運用, ファイナンス, 金融