社名非公開 | 資産運用業務 | 金融機関

非公開

• Build the pipeline of new opportunities, strengthen relationship with the existing clients and distributors. • Develop sales plans, client account plans and a clear and prioritised product engagement programme to support the institutional and wholesale sales effort

1500万円〜2800万円

非公開

Investment： Play a full and active role in the investment process by writing notes, attending company and team meetings and discussing and presenting investment ideas. Research： Undertake company research through the writing of stock notes, results reports and ad hoc sector, country and thematic reviews. Risk Management： Maintain up to date knowledge of compliance and dealing procedures and comply with all regulatory, legal, corporate and client mandates

1000万円〜1300万円

非公開

• Assist in the provision of compliance advice / monitoring support in meeting both local and global compliance standards, identifying regulatory changes and communicating these to the business; • Assist in establishing and developing appropriate and effective internal compliance policies and procedures to ensure compliance with regulatory requirements, internal compliance policies and procedures; • Review and approve marketing materials and publications; • Provide advice for marketing on a cross-border basis; • Provide advice on Real Estate investment management business (TMK, GKTK scheme) from a regulatory perspective. • Provide advice on AML/KYC process based on group policies and local regulations as a 2nd LOD • Provide advice on Third Party Risk Management process based on group policies and local regulations. • Advise on regulatory change and assist and contribute in the operationalization of the changes; • Review and approve conflicts of interest reported, including outside business activities reported; • Review and approve personal account deals; • Perform checks and reconciliations to ensure personal account deals are in compliance with local and global compliance standards; • Perform Investment Guideline Monitoring / Trade Surveillance; • Maintenance of Compliance modules to ensure compliance with local and global compliance standards; • Provide advice on licensing requirements (Investment Management license including Real Estate business, Investment advisory/agency license including Real Estate business, Type II licence and Real Estate Brokerage license), including entity and individual representatives; • Registration of licence/ regulatory applications where applicable, including entities and individual representatives; • Work together with relevant business units on new business initiatives and projects, highlighting and addressing specific compliance and regulatory concerns; • Conduct compliance training on material regulations and internal compliance policies; • Perform regulatory filings based on Financial Instruments and Exchange Act, Real Estate Brokerage Act, Act on Protection of Personal Information and relevant laws and regulations. • Assist in the reporting to the board and management of key compliance initiatives, risks and issues to the management, including highlighting key compliance issues and significant regulatory developments; • Assist in any other ad-hoc compliance related projects

1000万円〜1400万円