転職 : Compliance Officer

職務経験

3年以上 

英語レベル

ビジネス会話レベル 

日本語レベル

ネイティブ 

最終学歴

大学卒： 学士号 

現在のビザ

日本国籍、または日本での就労許可が必要です  

·Keep management and employees abreast of regulatory developments or changes that relate to discretionary investment management and security businesses, as well as corporate policies and procedures
·Co-ordinate regulatory notifications
·Assist the firm in managing regulatory inspections
·Develop polices and procedures to address regulatory compliance needs;
·Perform compliance monitoring, which is the independent review of processes to check for compliance with legal and regulatory requirements as well as internal policies;
·Assist in the implementation of corporate policies, such as Chinese Wall, Employee Trading
·Provide independent review of the firm’s client due diligence for Anti-Money Laundering purposes
·Provide training to employees on key legal, regulatory and policy requirements;
·Review client communications, internal use documents and other materials, which includes review of and comment on these materials for compliance with applicable laws, regulations, and Citigroup policies.
·May also be required to provide compliance oversight over private equity and real estate investment business group’s activities in Japan, subject to approval of shared control function

·At least 6-8 years of experience in either a securities or asset management compliance role
·Experience in alternative investments would be an advantage but not critical
·Proficiency in Japanese and English languages is essential
·This individual shall be responsible for performing the following compliance functions for the Japan office(s).

Legal Futures was founded in 1999 and is a dedicated legal, compliance and financial services boutique consultancy that operates from offices in Tokyo, Hong Kong and Singapore. Our recruitment business is categorised as specialist/professional. From Hong Kong we also service our clients in the PRC and Korea, whilst Thailand, Malaysia and Indonesia are serviced from Singapore. This enables us to deliver a total recruitment solution to regional team building in our clients’ key locations. We offer in-depth coverage from each office with a premium personalised consultancy service acting for international law firms, leading American and European investment banks and other employers of choice across all sectors of industry and commerce. For candidates, there is no charge for the services that we provide.

We operate three separate and highly specialised divisions:

Our Private Practice Division services the full spectrum of law firms sourcing qualified lawyers (both local and overseas admitted) at all levels from associates through to partners, also practice support lawyers, paralegals and business services positions.

Our Corporate Division services both domestic and international companies sourcing qualified lawyers (both local and overseas admitted) at all levels from Legal Counsels through to Regional General Counsels, corporate compliance officers, company secretaries and commercial/contract managers.

Our Banking & Finance Division services the full financial services industry from bulge bracket investment banks to retail banks and fund managers and is responsible for the recruitment of financial services executives, lawyers (both local and overseas admitted) at all levels from Legal Counsels through to Regional General Counsels, compliance officers at all levels from junior compliance officers up to Regional Heads of Compliance, also documentation officers, paralegals and mid-office personnel positions.

Our recruitment business is categorized as specialist/professional and our placements are limited to Japan only. Our service is free of charge. We will apply and follow the laws and principles of all relevant legislation and maintain data privacy at all times. Please refer to www.legalfutures.com to view our Privacy Policy. The person handling personal information is our license holder Matt Anderson who will also handle any complaints.