キャリアクロス外資系求人サイト : バイリンガル向けの求人情報を毎日更新！外資系企業をめざすならキャリアクロス。 http://www.careercross.com/911908.xml Sun, 07 Sep 2008 21:01:35 +0900 CareerCross Compliance in a Financial Institution Why is this Position Open? * Replacement Company Description: * Financial Institution seeks experienced Risk and Compliance Manager to run and direct the Risk & Compliance Function within its Japanese operations Responsibilities: *Ensure Compliance with Banking & Securities Law *Advise management on the impact and required response to emerging regulatory & legal changes, for example, changes to cross border activity, revamping of firewalls etc *Liaise with local Business Heads around new product approval processes *Delivery of the Compliance Monitoring Plan *Prepares the Bank for regulatory inspections *Liaison with Head Office Compliance functions, review all risk and compliance returns for Head Office *Liaison with external regulators (FSA, BoJ, etc) *Manage the bank’s anti-money laundering activities *Manage a team of 1 Japanese staff Remuneration: * 8 to 12 Million Yen, depending on skills and experience Applicable Experience: *Experience of managing a team of staff Desired Characteristics: *Fluent in Japanese & English http://www.careercross.com/00107107.html Fri, 05 Sep 2008 19:30:00 +0900 Legal Entity Controller in a leading global financial services firm! Why is this Position Open? * New Position due to Expansion of the Department Company Description: * This leading global financial services firm, with assets of over $1 trillion and operations in more than 50 countries, is a leader in investment banking, financial services for consumers, and business. This firm serves millions of consumers in the United States and many of the world’s most prominent corporate, institutional and government clients Responsibilities: *Ensure the reasonableness of trading ledger on US/Local GAAP basis *Conduct the reconciliation between Mgmt reporting and Financial Reporting *Understanding pL attribution for Securitization business *Running monthend process to close books and records Remuneration: * 8 to 11 Million Yen, depending on skills and experience Applicable Experience: *Good understanding of Japanese regulation & Capital Adequacy Desired Characteristics: *Team player http://www.careercross.com/00102577.html Fri, 05 Sep 2008 19:21:00 +0900 -日本の法律および規制、社内ルール等に基づき、証券会社および銀行支店のオペレーションにおける法規制順守状況の監査、改善の推奨 -監督官庁の監査によって生じた、必要とされる改善の補足的なチェック -内部監査ヘッドへのレポーティング -To audit the status of regulatory compliance of business operations in mainly securities company and bank branch through periodic and ad hoc inspections based on Japanese Laws/Regulations and the Internal Rules, etc. with recommendations for improvement. -To make supplemental checks to confirm that improvements required as a result of audit points raised by the Regulatory Authorities have been made. -To report to the Head of Internal Inspection. http://www.careercross.com/00102411.html Thu, 04 Sep 2008 17:38:00 +0900 This is a fantastic opportunity to join one of the top tier UK or US law firms in Tokyo as an experienced Paralegal. Our clients pride themselves on the quality of their service and so you should consider yourself to be a well qualified and experienced paralegal who has the ability to develop and thrive in a high profile law firm. You are likely to be assisting with some of the following tasks: Document review Document drafting Document translation Bible documentation Legal research Regulatory searches Regulatory filing These are an example of the skills that would be required and the types of tasks you might be expected to complete. Each of the law firms we represent have friendly and welcoming office environments who encourage and support their staff in their work and their education. http://www.careercross.com/0076482.html Wed, 03 Sep 2008 21:56:00 +0900 - Ｍ＆Ａアドバイザリー業務 [勤務地]　金融商品営業部（東京） [備考] 景気の回復、企業間競争激化、資本市場の制度面の改革、投資ファンドの台頭などＭ＆Ａ件数が増加しています。 三角合併解禁により案件数は更に増加する傾向にあります。今後、投資銀行部門では組織体制の強化するために外部から積極的に優秀な人材を求めています。 http://www.careercross.com/0073428.html Wed, 03 Sep 2008 13:25:00 +0900 > Monitoring customer complaints, incidents & errors > Inquiries/ Requests from Business > Assist Head of compliance in: - Compliance Monitoring and Testing - Fiduciary monitoring - Monitoring & administration for employees’ conduct issues, including Personal Trading, Gifts, Outside Business Interests, etc - Compliance Training - Examination/Audit issue tracking > Ad-hoc projects http://www.careercross.com/0092812.html Wed, 03 Sep 2008 13:25:00 +0900 この投資銀行グループのフロントに属し（従いまして、弊社の組織上法務・コンプライアンス部とは全く別の組織です。）、当該グループの各部門（加えて、事業法人営業部門、デリバティブ投資部門、海外事業部門）に対して、①ストラクチャリングにかかるリーガルリスク分析、②タームシートや契約書などのドキュメンテーション・レビュー（適宜、外部法律事務所への委託）、③各種先端ファイナンス法分野におけるリサーチなど総合的なリーガルサービスを提供する業務を行っております。 http://www.careercross.com/0093162.html Tue, 02 Sep 2008 17:05:00 +0900 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 http://www.careercross.com/0093377.html Tue, 02 Sep 2008 17:04:00 +0900 ・　Implement company’s policies ・　Set annual compliance priorities, goals, and operate rhythms for Compliance Review Board Meetings ・　Attend Board meetings and report on compliance incidents to the Board on a regular basis ・　Attend compliance related meetings in Japan ・　Be the main contact person in case of audits by government authorities ・　Conduct internal compliance investigations ・　Identify, communicate and assist in the resolution of compliance-related procedural issues and deficiencies ・　Design, coordinate, implement and conduct compliance training throughout Japan ・　Prepare Compliance Operation Reviews in Japan http://www.careercross.com/00106435.html Tue, 02 Sep 2008 16:09:00 +0900 ・　Competent with Microsoft excel and be comfortable with learning new applications ・　DTCC experience is preferable ・　Good communication skills to work with our external clients and escalate issues effectively to our internal stakeholders ・　Problem solving capabilities and creative thinking are preferable ・　The successful candidate will have opportunities to work on projects to enhance systems used ・　Gain exposure amongst the global operations team ・　Must understand Derivatives, ISDA, but this is not essential ・　Progressive thinker ・　Comfortable with reengineering processes and improving STP ・　Active communication with stakeholders (Front and Middle offices, Settlements, Drafting, Legal and Technology) is crucial to successfully meeting firm escalation policies http://www.careercross.com/00106431.html Tue, 02 Sep 2008 15:56:00 +0900