Investment Compliance Officer  コンプライアンス

給与 : ¥1000万 - ¥1500万
勤務地 : 東京都
掲載日 :
雇用タイプ : 正社員
ジョブオーダー番号 : 21106-FS
業種 : 金融

職務内容 :

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.


  • 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



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