東京都×アセットマネジメントの求人検索結果

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.