社名非公開 | コンプライアンス・マネジャー

非公開

投信投資顧問/ヘッジファンド

• 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

Experience and Qualifications • University degree (majoring in Legal/ Accountancy / Finance preferred) or other relevant professional qualifications Skills/Knowledge • Preferably 5 to 8 years’ compliance experience in the asset management industry including Real Estate business– preferably derived from a global/regional asset manager • Strong Knowledge on Investment Management Business for both traditional assets and real estate • Good Japanese regulatory knowledge • Ability to multi-task and prioritise independently • Proactive and enthusiastic attitude with the ability to work well within teams • Attention to details, strong analytical and communication skills • Strong English language skills (both verbal and written) required • Monitor progress against plan and budgets, flexing priorities and resources accordingly • Review core KPIs and report on Marketing impact

1000万円〜1400万円

東京

正社員（期間の定め無し）