コンプライアンスオフィサー/ Compliance Officer
給与 Negotiable based on experience
担当コンサルタント Liliana Lin
掲載日 2018/08/26 2018-08-262018-10-25 financial-services 3-12-18 Shibuya, Shibuya-ku Tokyo, 150-0002 Robert Walters
A multinational financial services company is seeking a Compliance Officer to strengthen the company’s coverage in the equities area. The successful candidate will provide advice on rules related to cash equity and equity derivatives to the business, planning ahead in response to changes in the market, business, and regulations.
- Handle compliance-related incidents
- Attend various meetings and committees to provide compliance advice
- Provide advice regarding Japanese regulations (mainly related to equities) and/or the company’s internal rules
- Support the business and internal functions during internal audits and regulatory inspections
- Support trade surveillance officers and other compliance members from an equities advisory compliance perspective
- Bachelor’s degree or equivalent
- 5+ years’ related experience
- JSDA Class 1 and ICM qualifications preferred
- Ability to read and understand Japanese laws, regulations, rules, etc.
- Proficiency in both English and Japanese
About the Company:
A dynamic and innovative financial services firm with a global presence and a strong foothold in the local business. The company prides itself on its client-focus and consistent shareholder returns.
法務, 法律, コンプライアンス, リスク, リーガル, 金融法務, エクイティ, 証券, ファイナンス