VP、FIDコンプライアンス/ VP, FID Compliance
給与 Negotiable based on experience
担当コンサルタント Tatsuro Sano
掲載日 2018/05/283-12-18 Shibuya, Shibuya-ku Tokyo, 150-0002 Robert Walters
A leading multinational financial services institution is looking to hire a Vice President of FID Compliance. In this role you will provide compliance guidance to fixed income businesses with respect to the relevant compliance policies and procedures and Japanese laws, rules, and regulations.
- Monitor changes in laws and regulations affecting the businesses and implement a compliance program
- Implement appropriate policies, training, testing, and monitoring as well as advisory coverage for the business.
- Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary
- Conduct regular compliance training for business unit professionals and supervisors
- Assess potential risks associated with the coverage area and address to enhance internal control functions as well as assist front line risk management framework
- Participate in the review and approval of new instruments and new products for individual investment teams
- Stay up-to-date on new regulations and communicate such updates to affected business areas to ensure the firm has appropriate controls in place
- 7+ years’ experience in compliance, legal, audit, or another control function covering FID businesses, with experience in derivatives and structured products
- Experience in global regulatory reform is a plus
- Strong interpersonal and communication skills
- Strong analytical and problem solving skills
- Bilingual fluency in English and Japanese
About the Company:
One of the world’s leading financial firms, this company provides a wide range of services including banking, securities, investment management and wealth management. With over 1,000 offices in more than 40 countries, this company is a true market leader.
金融, 金融業, 金融法務, 信託, 証券, ファイナンス, 法務, 法律, コンプライアンス, リスク, リーガル, 法曹界, 弁護士, 監査, 経営, ビジネス