MATTER
案件紹介

外資系運用会社 Investment Compliance

Act as a key Investment Compliance point of contact for investment personnel, Global Client Operations, relationship managers, Product, Legal, and Regulatory Compliance across Japan and Australia, particularly to work on new account onboarding and guideline amendments as follows:                     
・Work closely with Global Client Operations, Relationship Management, Product, Legal and Regulatory Compliance on the new account onboarding of Japanese Investment Trusts, Australian Unit Trusts and Asia-Pac domiciled client mandates.
・Closely monitor the new account pipeline and liaise with other Investment Compliance team members to ensure the account onboarding can be completed in a timely manner.
・Assist in facilitating the integration of new business into the investment compliance monitoring program for Asia-Pac clients which may be subject to complex investment restrictions and regulatory requirements, including fixed income, derivatives and legal regulations.
・Review investment restrictions in proposed new account/product documentation and guideline amendment language to ensure ability to code the compliance system as well as clarify intent, if needed.
・Collaborate with investment personnel to understand their perspective and the impact of investment guideline issues and interpretations on the investment process.
・Collaborate with investment personnel to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each portfolio.
・Preferably, possess technical skills to program logic-based rules in the Charles River compliance system in order to effectively monitor client and regulatory requirements and work closely with other rule coders based in HK, UK & US.
・Work to improve the client experience with respect to the implementation of investment guidelines by advocating process enhancements internally and with Global Client Operations and Product. Responsible for pre-trade & post-trade monitoring activities of investment guidelines in support of the Asia-Pac offices including but not limited to:
・Provide consultative compliance support to the Equity and Fixed Income investment business and support functions in Asia Pacific region. Act as a key point of contact for investment personnel in Australia for questions related to investment compliance matters during Asia-Pac trading hours.
・Review compliance exceptions in a timely manner/within established deadlines, providing subject matter expertise and communicating critical information to investment personnel (Portfolio Managers, Analysts, Traders and Investment & Trading Solutions).
・Report and escalate compliance breaches internally. Collaborate with investment personnel, Investment Operations, Global Client Operations, Legal and Risk to resolve compliance issue where appropriate.
・Handle due diligence questionnaires, regular reporting to internal stakeholders.            
・Work closely with the Investment Compliance monitoring teams based in HK/UK/US.

年収帯1200万~1600万円

労働条件

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日系コンサルティングファーム コンサルタント

銀行・証券、保険業界等向けの戦略コンサルティング

年収帯応相談

労働条件正社員

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欧州系資産運用会社 総務部長

ベンダーマネジメントなど

年収帯1300万 ~ 1600万円

労働条件

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外資系保険会社 データサイエンティスト

顧客データ、事故データ等の分析、モデル構築、オペレーション・モデルの効率化

年収帯応相談

労働条件正社員

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日系保険会社 経営企画職

◎経営戦略・経営方針・経営計画の立案・管理(事業提携などを含む)  ◎全社的な経営資源配分の立案・実行・管理              ◎企業文化や価値基準の変革など全社施策の企画・立案・遂行

年収帯応相談

労働条件

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