社名非公開 | シニア コンプライアンス オフィサー

企業名

非公開

年収イメージ

1500万円〜2000万円（経験・能力を考慮の上当社規定により決定）

仕事内容

Job Purpose (Job Summary):

Reporting directly to the Head of Compliance, Japan, the incumbent is responsible to assist the Head of Compliance, Japan to manage and oversee the compliance function in Japan to deliver professional and high quality compliance support and advice to the business; to support businesses compliance with all applicable regulations and internal compliance standards; to support compliance-related matters of the Japan office as assigned by the Head of Compliance, Japan; and to liaise with colleagues in Japan, the Asia Pacific region as well as other Group offices on compliance-related matters while maintaining a high level of independence.

Key Responsibilities / Duties:

• 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.

必要スキル

Work Experience / Knowledge:

• 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

Skills / Other Personal Attributes Required:

• 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

Formal Education:

• Degree in Accounting/Finance/Law or related disciplines

雇用形態

正社員（期間の定め無し）

勤務地

東京都