転職 : 【外資系・大手証券会社】 - Manager, Investment Compliance/マネージャー、投資コンプライアンス - (LC-317600-BEF)

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

流暢 

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  

-CIOやCOOへの投資マネージメントなど各種アドバイス業務
-商品開発やファンドストラクチャーや規制に関するアドバイス提供業務
-投資マネージメント協約等に基づいたファンドモニタリングルールの実行確認業務
-投資チーム内でのシニアマネージメントとの関係保持業務
-エクイティキャピタルマーケット業務監督業務
-コーポレートガバナンス・プログラム内でのアドバイス提供業務
-新規商品や投資戦略確認アドバイス業務
-地域法規事項に対応する投資コンプライアンスポリシーマネージ業務
-リーガル部門との自社Price Sensitive Informationポリシー適合確認、インサイダー情報取り扱い監視業務
-業務効率改善の為の各種手順見直し業務
-海外レポーティングチームとの株主レポーティング監督業務
-持ち株に関するその他規制レポート作成確認業務
-国内金融規制知識に関する海外オフィス補助業務
-必要に応じ、ファンドやトレード監視補助業務

-Responsible for provision of advisory services to CIO, COO:
­ Investment Management
­ Portfolio managers
­ Traders and support staff relating to regulatory and legal interpretation.
-Participate in product development and fund launch initiatives and provide relevant advice on fund structure and regulatory expectations.
-Ensure fund monitoring rules are implemented appropriately for new funds in line with Trust Deeds or Investment Management Agreements.
-Develop an interactive personal relationship with senior management within the investment team.
-Oversee and assist Equity Capital Markets activity and trading.
-Advise on activities within our Corporate Governance program.
-Review and advice on new instruments and investment strategies and their applicability to out products.
-Manage Investment Compliance policies to ensure they meet local legal / regulatory requirements.
-Work with the Legal department to ensure that the provisions of our Price Sensitive Information policy are complied with, and oversee the procedural aspects of the handling of ‘Insider Information’.
-Develop and implement procedures to ensure operational effectiveness.
-Supervise large shareholder reporting in cooperation with the overseas based reporting team.
-Ensure other regulatory reporting in relation to holdings is conducted promptly and efficiently.
-Work with offshore to assist in their understanding of Japanese regulation and ensure their activities are in line with regulatory expectations.
-Provide assistance when required to fund monitoring and trade oversight activities.

-日本国内証券法や規制知識のある方
-グローバル投資ビジネスやその他関連プロセス知識のある方
-海外市場や金融規制知識があるとなお可
-3年以上の投資、もしくは投資コンプライアンス経験のある方

-Extensive knowledge of Japanese securities laws and regulation.
-Experience of a global investment business and related processes.
-Knowledge of overseas markets and regulation an advantage
and regulations, and are being monitored adequately.
-More than 3 years investment or investment compliance experience is required.

こちらは、世界的運用実績ある大手金融機関の投資信託をメインに扱う証券会社です。

This company’s group is a major international provider of financial services, primarily specializing in mutual funds, brokerage services, retirement services, estate planning, wealth management, securities execution and clearance, life insurance.