Compliance Officer - Global Investment Management | Michael Page Japan の求人詳細


キービジュアル キービジュアル
更新日 2018-09-11
掲載開始日 2018-09-11

Compliance Officer - Global Investment Management

  • ★★ スタッフレベル
Michael Page Japan
企業名 会社名非公開
Michael Page Japan
金融/銀行/証券 - アセットマネジメント/トラストバンキング
法務 - 法務(コンプライアンス)
業種 投資・ファンド関連
勤務地 アジア 日本 東京都

仕事内容 Leading global asset management company is seeking an experienced Compliance Officer for their team in Tokyo.


* Provide advice and support to staff and management to ensure compliance with industry rules and regulations, best practices and company policies

* Identify regulatory change, assess the potential impacts and communicate this to the business
* Maintain local Compliance manuals to ensure they are up to date and reflect current working practices and relevant regulatory requirements
* Ensure compliance arrangements are adequate in the event of accounts delegated elsewhere or where functions have been outsourced
* Provide guidance to the business on Compliance issues and advice on how to structure businesses/processes in a compliant manner.
* Ensure timely substantial shareholder disclosure monitoring and reporting
* Ensure compliance with AML rules and regulations, Personal Account Dealing, Gift & Entertainment and Personal Information Protection laws and regulations
* Provide regular and ad-hoc training for employees on compliance related issues
* Assist in the planning and execution of Compliance Monitoring Program, including Local and Global Thematic Reviews on key risk areas.
* Prepare reports to management/ stakeholders on the findings of review including recommendations for follow up
* Assist the Head of Legal and Compliance in managing regulatory inspections and internal & external audits
* Communicate with regulatory bodies, including handling regulatory filing and reporting to JFSA, JITA and JIAA
* Carry out proper review of all RFPs / RFIs / Marketing materials before issuance to clients in accordance to regulatory requirements and group standards
* Participate in new product review process


* 5+ years of experience in compliance or related areas such as legal, risk management or audit in the financial industry, preferably in global asset management firms

* Oral and written fluency in Japanese and English
* Ability to communicate effectively with staff at all levels of seniority
* Good at managing administrative tasks (record keeping, data input etc.)
* Clear and strong career vision to build a professional career in compliance area
* Positive attitude, sense of responsibility, enthusiastic and strong team player
* Self-motivated and independent learner

Job Offer

* Modern office located in central Tokyo

* Competitive base salary plus performance related bonus
* Good career prospects
* Stable work environment

応募は、以下の応募ボタンからお願いします。詳細につきましては、Andy Clubbeにお問い合わせください+813 6832 8671
Our client is a global investment management company with an established presence in Japan and throughout the world. They provide a comprehensive range of financial products and investment solutions across multiple asset classes for their institutional investors and retail clients via 3rd party intermediaries.
英語能力 ビジネス会話 (TOEIC 735-860)
日本語能力 ネイティヴレベル
中国語能力 なし
年収 経験と能力に基づく   

Compliance Officer - Global Investment Management