Japan Compliance Officer - Global Securities | Michael Page International Japan K.K./マイケル・ペイジ・インターナショナル・ジャパン株式会社の求人詳細

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更新日 2019-04-24
掲載開始日 2019-04-24

Japan Compliance Officer - Global Securities

  • ★★★★ マネージャーレベル
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人材紹介
Michael Page International Japan K.K./マイケル・ペイジ・インターナショナル・ジャパン株式会社
企業名 会社名非公開
職種
Michael Page International Japan K.K./マイケル・ペイジ・インターナショナル・ジャパン株式会社
法務 - 法務(コンプライアンス)
業種 銀行・証券関連
勤務地 アジア 日本 東京都

仕事内容 Standalone Compliance roles covering the Japan business of a Type 1 licensed securities firm.


Description

* Establish compliance policies and procedures and implement processes for their periodic review, update and internal distribution

* As a standalone compliance officer in Japan, ensure the company is compliant with Japanese regulatory requirements and the group's global policies

* Establish and maintain good working relationships with local regulators

* Manage regulatory inquiries and supervisory inspections

* Take care of company and employee licensing matters

* Client account opening and on-boarding, conducting KYC and AML due diligence and reporting

* Assessing regulatory implications of new businesses & products and facilitate transaction approvals

* Provide regular and ad-hoc compliance training for staff

* Assist management to keep abreast of regulatory issues, developments and assess the potential impact of regulatory change on the business

* Assist in the implementation of transaction monitoring and control systems as necessary to ensure they meet regulatory standards and best practice

* Review customer disclosures, marketing materials and deal with complaints handling


Profile

* 5+ years of Legal and/or Compliance experience gained within a financial institution in Japan

* Proven knowledge of local laws and regulations

* Oral and written fluency in Japanese and English

* Familiarity with equity derivatives products preferred

* Qualification as a JSDA Securities Representative or Internal Control


Job Offer

* Standalone role with broad exposure across the business

* Competitive salary package

* Good career prospects


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
企業について
(社風など)
Our client is a Type 1 licensed global securities firm specialized in brokerage services for Japanese derivative products across a range of asset classes including equity derivatives, bond futures and options, as well as other securities and financial derivatives for their institutional clients
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