転職 : Global Market Debt Advisory Compliance, VP

職務経験

1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  

· Development and maintenance of Compliance policies and procedures

· Dissemination of policies and procedures following the Compliance Communication protocol by using Compliance Alerts

· Assist the business in establishing their policies and procedures and Key Operating Procedures (KOPS)

· Assist in resolving issues arising from the adoption of clients and if applicable, ensuring the Escalation policy and procedures are followed

· Deal with referrals passed on by the Monitoring Unit. (MSI)

· Review and participate in the New Product Approval process

· Represent and participate in Global practice groups and initiatives

· Provide formal and ad-hoc training on key regulatory issues to all front office staff.

· Assist in desk reviews undertaken by MSI

· Participate in ad hoc desk reviews as required

· Assist in investigations

· Participate with the business and management in handling regulatory inspections

· Bachelor’s Degree
· Minimum of two years compliance or legal experience in a financial services or law firm, financial / product and operation / processing knowledge on a broad variety of plain vanilla fixed income and derivatives products.
· Advanced English and Native Japanese are pre-requisites for this role.

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.