2000万円以上×アセットマネジメントの求人検索結果

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.

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

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

• 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

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