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 Kozo Kinugawa
掲載日 2018/12/07 2018-12-07financial-services 3-12-18 Shibuya, Shibuya-ku Tokyo, 150-0002 Robert Walters
A prominent banking and financial services company is looking for a Compliance Officer. This position will be responsible for supporting compliance activities as well as related training and communication.
- Maintain the company’s watch list by reviewing and evaluating investment banking, capital markets. Etc.
- Cooperate with other functions to review transactions for issues such as conflicts of interest
- Evaluate and approve time sensitive trading requests
- Provide advice for inquiries regarding to public and private interactions
- Provide advice regarding the handling of emails containing non-public information and implement proper control
- Provide training regarding information policies and procedures
- Understanding of compliance laws, rules, regulations, risks, and typologies
- Proficiency in Microsoft Office (Excel, Word, PowerPoint)
- Control officer qualification is a plus
- Advanced level Japanese; intermediate level English with the ability to communicate with native speakers of both languages
About the Company:
A leading banking and financial services firm, this company specializes in investment banking and securities trading. The company has received a number of awards for the quality of its investment banking solutions.
法務, 法律, コンプライアンス, リスク, パラリーガル, 法曹界, 弁護士, 金融法務