Investment Compliance Officer  コンプライアンス


給与:

¥1000万 - 1500万 / annum

勤務地:

東京都

投稿日:

2月 9, 2018

契約タイプ:

正社員

リファレンス(推薦状):

21106-FS

専門分野:

金融


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


東京

東京都千代田区大手町 1-1-3 大手センタービル 22F Japan, Tokyo 100-0004 +813 5219 6633
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