Investment Compliance Officer  コンプライアンス


Salary:

¥10M - 15M / annum

Location:

Tokyo

Date Posted:

July 27, 2018

Employment Type:

Permanent

Job Reference:

21106-FS

Staffing Area:

Banking and financial services


Description

Duties & Responsibilities

  • Ensure that various funds trading at the firms trading desk in Hong Kong are in compliance with applicable regulations and investment guidelines.
  • Advise investment professionals in Japan on day to day compliance matters.
  • Provide training sessions to investment professionals on investment guidelines / restrictions for specific funds.
  • Investigate and provide resolution to breaches and investment processes.
  • Process shareholding limit increase requests across the region.
  • Research and respond to requests and queries from internal as well as external sources.
  • Develop and implement compliance procedures to enhance monitoring and operational effectiveness.
  • Research regulatory developments and assesses investment compliance implications.

Requirements

  • Degree-level educated, with a keen interest in financial markets
  • Qualified lawyer, accountant or financial analyst (CA, CFA or equivalent qualification preferred)
  • At least 4 years of practical experience within financial services or asset management industry (preferably in compliance, audit, investigations or market surveillance)
  • Good working knowledge of equity and fixed income markets with a genuine interest in the investments process



Tokyo

Ote Center Bldg, 22F 1-1-3 Otemachi Japan, Tokyo 100-0004 +813 5219 6633
Equity Trade Surveillance
Tokyo
Permanent
August 16, 2018
GL Manager
Tokyo
Permanent
August 16, 2018
General Accountant / アカウンタント
Osaka
Permanent
August 16, 2018
Social Media Manager
Tokyo
Permanent
August 16, 2018
Program Manager
Tokyo
Project
August 13, 2018
Business Analyst
Tokyo
Project
August 13, 2018
Senior Business Process Analyst/Consultant
Tokyo
Project
August 13, 2018
Project Manager
Tokyo
Project
August 13, 2018
See More Jobs >