2000万円以上×アセットマネジメントの求人検索結果
並び順
シニア コンプライアンス オフィサー
企業名
非公開
業界
金融機関
業種・職種
アセットマネジメント
想定年収
1500万円〜2000万円
仕事内容
Job Purpose (Job Summary):
Reporting directly to the Head of Compliance, Japan, the incumbent is responsible to assist the Head of Compliance, Japan to manage and oversee the compliance function in Japan to deliver professional and high quality compliance support and advice to the business; to support businesses compliance with all applicable regulations and internal compliance standards; to support compliance-related matters of the Japan office as assigned by the Head of Compliance, Japan; and to liaise with colleagues in Japan, the Asia Pacific region as well as other Group offices on compliance-related matters while maintaining a high level of independence.
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.⋯
Reporting directly to the Head of Compliance, Japan, the incumbent is responsible to assist the Head of Compliance, Japan to manage and oversee the compliance function in Japan to deliver professional and high quality compliance support and advice to the business; to support businesses compliance with all applicable regulations and internal compliance standards; to support compliance-related matters of the Japan office as assigned by the Head of Compliance, Japan; and to liaise with colleagues in Japan, the Asia Pacific region as well as other Group offices on compliance-related matters while maintaining a high level of independence.
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.⋯
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Legal & Compliance Officer, AVP/VP
企業名
非公開
業界
金融機関
業種・職種
アセットマネジメント
想定年収
1600万円〜2000万円
仕事内容
1. Marketing material and documents reviews
2. Registration / reporting to the financial regulators and associations (JITA, JIAA, JSDA and Type II Association).
3. Review/create/update internal rules and policies. 4. Communicate with overseas colleagues (Legal & Compliance as well as other divisions such as business and investment team).
5. Review contracts (ITM fund trust deeds, IMAs, general contracts)
6. Review investment guidelines
7. Provide employees with compliance training and guidance on regulatory and policy requirements.
8. Handle asset management general compliance matters
9. Handle incidents and risk management related matters⋯
2. Registration / reporting to the financial regulators and associations (JITA, JIAA, JSDA and Type II Association).
3. Review/create/update internal rules and policies. 4. Communicate with overseas colleagues (Legal & Compliance as well as other divisions such as business and investment team).
5. Review contracts (ITM fund trust deeds, IMAs, general contracts)
6. Review investment guidelines
7. Provide employees with compliance training and guidance on regulatory and policy requirements.
8. Handle asset management general compliance matters
9. Handle incidents and risk management related matters⋯
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Senior Client Service Manager (Japan desk in London)
企業名
非公開
業界
金融機関
業種・職種
アセットマネジメント
想定年収
1800万円〜2300万円
仕事内容
Key Work Level Accountabilities: Manager or Expert
For people managers, accountable for managing and motivating others to ensure quality of delivery to customers and stakeholders
For technical specialists, accountable for delivering expert advice or service, using specialist knowledge and subject matter expertise Applies judgement to deliver outcomes, evaluating a range of potential solutions, considering the impact for customers, cost and risk
Manages conflicts that may impact delivery
Challenges upwards given knowledge of delivery and awareness of complex systems and the broader picture
Identifies and anticipates need for changes to continuously improve quality and efficiency of output
Manages resources and risks using expert judgment, know-how and experience
Key Responsibilities for this role:
Working closely with APAC distribution team to ensure seamless coverage, and aligning the service offering to the global client service experience whilst remaining sensitive to local market needs. Typical client service activities include:
o Assist with onboarding of clients / new business and operational due diligence, building an understanding the client and their requirements
o Liaise with TAs and custodians to assist clients, facilitation and escalation – e.g. account set up for pooled fund clients
o Undertake client set up and change activities, coordinating with relevant stakeholders and aligning to the service catalogue, being the advocate for the client
o Co-ordinate regular reporting requirements, including regulatory report requests (e.g. audit, regulatory requests)
o Co-ordinate and handle client queries and requests
o Resolve client issues (e.g. handholding on a settlement) and complaints
o Undertake event-driven communications, e.g. pricing errors, breaches
o Communicate with clients on day-to-day matters, ensuring delivery of the required services
o Support other parts of the Client Service Delivery team or Sales teams (e.g. liaising on contractual matters, providing cover)
o Work closely with key stakeholders to support relationships – e.g. attendance at client meetings, liaising with fund managers and fund manager assistants and custodians
o Collaborate with local client-facing teams in Sales and Investment to ensure a seamless and excellent client service experience
Ensure you fully adopt global Client Service Delivery processes and supporting systems for an efficient, consistent and high quality client service experience
Ensure all client servicing systems (e.g. Service Catalogue, Onboarding, Query Management) are used correctly by the team and kept up-to-date to maintain visibility of service standards and trends and to share visibility of client interactions with other client-facing teams
Work with the Client Service Enablement team to ensure consistent, high quality service delivery in line with standards
Raise new or emerging requirements with Client Service Enablement team to review in line with the service catalogue or specific capabilities
Collaborate with other sales colleagues and Global Client Service Delivery team management to share ideas and support client activities between regions where required
Work closely with key stakeholders in region, in particular country heads and heads of channel to support the overall client engagement lifecycle, including the sales process
Work collaboratively with local Sales Support to ensure there is no duplication of work or inconsistent client messaging
Manage the relationships of our UK-based APAC clients, and supporting new business opportunities.
Coordination and hosting of APAC client meetings in London office.
Acting as a regular contact point for client queries where necessary, ensuring they are answered timely and accurately, in coordination of APAC Distribution team⋯
For people managers, accountable for managing and motivating others to ensure quality of delivery to customers and stakeholders
For technical specialists, accountable for delivering expert advice or service, using specialist knowledge and subject matter expertise Applies judgement to deliver outcomes, evaluating a range of potential solutions, considering the impact for customers, cost and risk
Manages conflicts that may impact delivery
Challenges upwards given knowledge of delivery and awareness of complex systems and the broader picture
Identifies and anticipates need for changes to continuously improve quality and efficiency of output
Manages resources and risks using expert judgment, know-how and experience
Key Responsibilities for this role:
Working closely with APAC distribution team to ensure seamless coverage, and aligning the service offering to the global client service experience whilst remaining sensitive to local market needs. Typical client service activities include:
o Assist with onboarding of clients / new business and operational due diligence, building an understanding the client and their requirements
o Liaise with TAs and custodians to assist clients, facilitation and escalation – e.g. account set up for pooled fund clients
o Undertake client set up and change activities, coordinating with relevant stakeholders and aligning to the service catalogue, being the advocate for the client
o Co-ordinate regular reporting requirements, including regulatory report requests (e.g. audit, regulatory requests)
o Co-ordinate and handle client queries and requests
o Resolve client issues (e.g. handholding on a settlement) and complaints
o Undertake event-driven communications, e.g. pricing errors, breaches
o Communicate with clients on day-to-day matters, ensuring delivery of the required services
o Support other parts of the Client Service Delivery team or Sales teams (e.g. liaising on contractual matters, providing cover)
o Work closely with key stakeholders to support relationships – e.g. attendance at client meetings, liaising with fund managers and fund manager assistants and custodians
o Collaborate with local client-facing teams in Sales and Investment to ensure a seamless and excellent client service experience
Ensure you fully adopt global Client Service Delivery processes and supporting systems for an efficient, consistent and high quality client service experience
Ensure all client servicing systems (e.g. Service Catalogue, Onboarding, Query Management) are used correctly by the team and kept up-to-date to maintain visibility of service standards and trends and to share visibility of client interactions with other client-facing teams
Work with the Client Service Enablement team to ensure consistent, high quality service delivery in line with standards
Raise new or emerging requirements with Client Service Enablement team to review in line with the service catalogue or specific capabilities
Collaborate with other sales colleagues and Global Client Service Delivery team management to share ideas and support client activities between regions where required
Work closely with key stakeholders in region, in particular country heads and heads of channel to support the overall client engagement lifecycle, including the sales process
Work collaboratively with local Sales Support to ensure there is no duplication of work or inconsistent client messaging
Manage the relationships of our UK-based APAC clients, and supporting new business opportunities.
Coordination and hosting of APAC client meetings in London office.
Acting as a regular contact point for client queries where necessary, ensuring they are answered timely and accurately, in coordination of APAC Distribution team⋯
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ビジネス・ディベロップメント ディレクター/アシスタント・ディレクター
企業名
非公開
業界
金融機関
業種・職種
アセットマネジメント
想定年収
1500万円〜2800万円
仕事内容
• 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
• Develop sales plans, client account plans and a clear and prioritised product engagement programme to support the institutional and wholesale sales effort
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機関投資家向け営業（企業年金等）
企業名
非公開
業界
金融機関
業種・職種
アセットマネジメント
想定年収
1800万円〜2200万円
仕事内容
企業年金をクライアントとした資産運用に関わる提案業務。
クライアントの運用方針（資産配分、運用商品選定等）に基づいた適切な運用商品の提案。
運用状況の分析や運用状況の報告等のフォローアップも行う。
クライアントの運用方針（資産配分、運用商品選定等）に基づいた適切な運用商品の提案。
運用状況の分析や運用状況の報告等のフォローアップも行う。
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勤務地から探す
金融機関
コンサルティングファーム
経営人材・CxO
DX・IT
製造
