転職 : Head of Investment Compliance

職務経験

無し 

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  

The position will be Head of the Tokyo Investment Compliance department providing advisory support to the Japan investment team.


·Manage the investment compliance officers performing time of trade testing and trade oversight programs

·Responsible for assisting the Japan investment team with all related queries and projects

·Oversee and research compliance implications of investing in new equity and fixed income securities, vehicles and strategies

·Proactively identify, resolve and communicate compliance issues and trends

·Work closely with Bermuda Investment Compliance on COMET and AS400 compliance engines, end-of-day and monthly testing

·Develop close working relationships with the Chief Investment Officer and his senior team, in particular the Head of Trading

·Independently respond to routine and ad-hoc requests from internal and external sources

·Develop and implement compliance procedures to ensure operational effectiveness and to produce metrics for management information

·Ensure that all portfolio managers are educated on mandates they manage, in particular restrictions, on an annual basis

·Work closely with London, Hong Kong and Boston Investment Compliance functions to ensure Tokyo’s obligations under the Global Service Model are met

·Ensure that all FSA and SEC requirements on trade oversight are implemented and complied with

·Stay abreast of internal and external procedural and technical developments relevant to the job functions

·Establish effective working relationships with other functional areas

·Provide support for the Code of Ethics, including handling general queries and pre-clearance requests

·Provide support to Regulatory Reporting on shareholder disclosure and regulated industries related matters

·Work with the Legal department to ensure that the provisions of company`s Price Sensitive Information policy are complied with

·Some knowledge of foreign regulatory requirements or developments desirable (but not essential) for working with other offices

·Buy-side work experience or FSA / SESC experience; those with sell-side work experience will be considered only if all other qualifications are exceptional

·Extensive knowledge of trading systems, trading techniques, new security instruments, trade monitoring reports and techniques gained through hands-on daily trade surveillance oversight

·Experience having dealt with FSA / SESC through at least one or more inspections

·Flexible schedule: i.e., able to begin work early, around the same time as the Trading Desk; able to stay late when required or to take late night calls from home to discuss issues with the company’s global Investment Compliance team

·Highest personal ethics; willingness to forego (or engage in minimal) personal transactions under FIL’s Code of Ethics

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.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.