転職 : Head of Compliance & Risk Management

職務経験

1年以上 

英語レベル

流暢 

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  

Lead and ensure appropriate internal control of the company both from risk management and compliance perspectives. Taking account of the existing structure of the department, risk management is prioritized. In addition, the successful incumbent will be in charge of making sure that internal controls meet both Japan local and global requirements.



The successful candidate will chair the Risk and Compliance Committee and manage and supervise the department which consists of compliance officers, staff and a risk management manager.



General Duties / Tasks

Risk Management

-Lead and implement overall direction of the Company’s risk management functions as below;

-Formulate the risk management policies and manuals

-Ensure each department’s risk management procedures work properly

-Coordinate with Global Risk Management headquarters

-Undertake assessments of business unit exposures, identify risk, define the key risk indicators, evaluate their potential impact and review the strengths and weaknesses of the company’s existing controls
-Implement functional risk assessment and report to the management

-Develop approval procedures and guidelines on risk limits in investment management or in transactions, etc.

-Involve in evaluation of new products and investment management process from a risk management perspective

-Make sure the investment and investment management oversight function work appropriately

- Involve in evaluation of outside service providers including due-diligence on delegated investment managers, etc.

- Investigate, resolve and document operating errors and working with the business to improve process and procedure

-Provide counsel and training to business unit managers on risk management issues and evaluate business practices

-Involve in internal audit processes including external risk management/process audits, such as SAS70, SOX, etc.

-Continue to monitor control compliance and the prevalent risk environment to ensure that exposures are kept at acceptable levels

-Lead and enhance Business Continuity Plan



Compliance-Supervisory

-Responsible for developing compliance strategy and directing and monitoring the Company’s overall compliance program

-Correspond with the FSA and other regulatory bodies

-Prepare and submit regulatory reports to clients and relevant authorities

-Establish and maintain the Company’s compliance programs including compliance manuals, etc. integrating new laws and regulations

-Ensure and monitor fund management, trading and operational activities in compliance with regulations, restrictions, policies and guidelines

-Ensure and monitor marketing materials and reports sent out to clients or prospective clients in compliance with regulations and restrictions

-Review and pre-clear personal securities trading and holdings, and monitor insider trading and AML

-Deal with complaints and individual privacy information control

-Review contractual documents

-Provide compliance training and update staff with law and regulation changes

· CFA and/or CMA (preferably)

· Native Japanese and with advanced English

· Strong experience in Risk Management (minimum 2 years) and experience in Compliance in Asset Management ; skill-set test may be arranged

· Deep understanding of local regulations including SESC inspection manual and internal control requirement

· Experience dealing with the FSA

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.