Investment Compliance Officer  コンプライアンス


Salary:

¥10M - 15M / annum

Location:

Tokyo Metropolis

Date Posted:

June 1, 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
CRM Strategy Director
Tokyo Metropolis
Permanent
June 22, 2018
Trade Surveillance – Associate to VP
Tokyo Metropolis
Permanent
June 22, 2018
Head of Compliance
Tokyo Metropolis
Permanent
June 22, 2018
AVP – VP, AML Testing
Tokyo Metropolis
Permanent
June 22, 2018
Digital Lead
Tokyo Metropolis
Permanent
June 21, 2018
Lead Developer Support Engineer
Tokyo Metropolis
Permanent
June 20, 2018
Lead Systems-Networking Support Engineer
Tokyo Metropolis
Permanent
June 20, 2018
Data Engineer (Hadoop, Tableau in Tokyo)
Tokyo
Permanent
June 20, 2018
Lead Big Data Support Engineer
Tokyo Metropolis
Permanent
June 15, 2018
IT Operations Manager
Tokyo Metropolis
Permanent
June 15, 2018
Senior Software Engineer (C/C++/Java)
Tokyo Metropolis
Permanent
June 15, 2018
Digital Strategist
Tokyo Metropolis
Permanent
June 15, 2018
Regulatory Compliance
Tokyo Metropolis
Permanent
June 15, 2018
Head of Legal
Tokyo Metropolis
Permanent
June 15, 2018
See More Jobs >