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/912501.xml Wed, 09 Jul 2008 21:55:55 +0900 CareerCross 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 BNY Mellon’s 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 http://www.careercross.com/0097010.html Wed, 09 Jul 2008 14:10:00 +0900 ·予算管理 ·財務報告 ·当局宛報告 ·日常の仕分及び支払の点検 ·Corporate secretarial 業務 ·災害復旧計画改訂及びテスト ·コンプライアンス・リスク管理関係のモニタリング、報告、及び文書作成サポート http://www.careercross.com/0098885.html Wed, 09 Jul 2008 14:10:00 +0900 商品企画担当者として投信新規商品の立ち上げを行って頂きます。 http://www.careercross.com/0095988.html Wed, 09 Jul 2008 10:16:00 +0900 -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. http://www.careercross.com/0093322.html Tue, 08 Jul 2008 17:11:00 +0900 -Perform regular surveillance monitoring (Equities Transactions) on clients’ trading activities to ensure adherence to directives, guidelines, trading regulations and practices in the respective jurisdictions. -Perform investigation and identify unusual transactions (e.g. market manipulation, marking the close). -Perform regulatory reportings including disclosure of interests requirements. -Provide business advisory to Frontline employees concerning directives, regulatory requirements and new initiatives. -クライアントのトレーディング活動において、指示および指針、トレーディング規制、それぞれの管轄における慣行等が遵守されているかを確認するための、定期的なサーベイランス・モニタリング（エクイティ・トランザアクション） -調査 -異常なトランザアクションの調査および特定（市場操作等） -金利情報の公開を含む、レギュラトリー・レポーティング業務 -指示および規制基準、新手法・計画に関するフロントラインへのアドバイス提供 http://www.careercross.com/00100847.html Tue, 08 Jul 2008 17:08:00 +0900 -Provide support and advise regarding Compliance issues for the Equities, Research and Private Banking Department. -Monitoring of dealings for the above departments, revision of solicitation materials and on-going sales status. -Other Compliance tasks including project planning, preparation and implementation. -エクイティ部門、リサーチ部門、プライベート・バンキング部門へのコンプライアンスに関するサポート、アドバイス提供業務 -上記部門の取引監視業務、勧誘文書の改善、現存するセールス状況の監視業務 -その他コンプライアンス・タスク（プロジェクト・プランニング）の準備・実行業務 http://www.careercross.com/00100455.html Fri, 04 Jul 2008 11:09:00 +0900 -グループ全体のためISDAに関連する業務フローのデザイン -どの業務が為されなければならないか明確にし、それを関連する部署に割り振る（自ら遂行する事もありうる） -他部署からのISDAに関連した質問への応対および問題解決 -ISDAに関連する問題について、ブローカーと連絡を取り合う -法務部門と協働し、新規ISDA契約において積極的に活動する -関連する部署がリストに基づいて活動できるよう、契約されたISDA顧客リストをメンテナンスする -Design business flow for ISDA related business for the whole of our group. -Identify what works needs to be done, and assign them to the related Departments; as well as doing some by him/herself. -Answer questions and be consulted about ISDA related business from the related Departments. -Be the liaison to brokers about ISDA related matters both for existing and newly contracting ISDA. -Take an active role in new ISDA contracts; partnered with the Legal Department. -Maintain the lists of accounts for which ISDA are contracted, so the related Departments can perform the assigned work based on the list. http://www.careercross.com/00100454.html Fri, 04 Jul 2008 11:04:00 +0900 －コンプライアンスレビューを行い、各商品の規制観点からのガイダンスを提供する －マネジメントおよびスタッフに、コンプライアンス問題全般・関連法律・規制解釈・新商品開発・取引・ビジネス慣行に関するアドバイス・意見・提言・研修の提供 －内部規制・規定、進行マニュアル、コンプライアンスマニュアルの草案（必要に応じそれらの改定）のアシスト －法律・規制・内部規定に関する研修をスタッフ全員に提供する －コンプライアンス部門の効果的な常任監視業務 -To conduct compliance review and provide guidance from regulatory perspective for each product. -To provide advice, opinions, recommendations and training to the management and staff in respect of overall compliance issues, the interpretation of the relevant laws and regulations or the development of new products, transactions or business practices. -To assist in the drafting of internal regulations or rules, procedure manuals and the Compliance Manual and revise them when necessary. -To assist in the training of all the staff in respect of laws, regulations and internal rules. -To monitor the effective completion of permanent supervision in Compliance Department. http://www.careercross.com/00100451.html Fri, 04 Jul 2008 10:30:00 +0900 -Provide advice and assistance in resolving the compliance and regulatory issues arising from sales and trading activities. -Ensuring advice is in accordance with regulatory requirements and the Group local/global policies and procedures are followed. -Effective communication of key regulatory changes to the business -Development and maintenance of Compliance policies and procedures. -Assist the business in establishing their policies and procedures and Key Operating Procedures -Deal with referrals passed on by the Monitoring Unit. -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. －セールス・トレーディングで発生したコンプライアンス・レギュラトリー関連問題へのアドバイス・アシスタント業務 －会社の規定等に基づいたアドバイスの提供 －規定の変更に関する連絡業務 －コンプライアンスの規則・進行の改善・維持業務 －主要運用規則・進行決定のアシスタント業務 －モニタリング・調査・監視ユニットからの案件処理業務 －新商品承認プロセスのレビュー・参加をする －主要規定問題に関する公式・特別研修をフロントオフィススタッフ全員・関連するスタッフ全員に提供する －MSIにより引き受けられたデスクレビューのアシスタント業務 －特別デスクレビューへの参加 －調査のアシスタント業務 －規定検討を扱ったマネジメントへの参加 http://www.careercross.com/00100448.html Fri, 04 Jul 2008 10:23:00 +0900 -クライアント・ガイドラインおよび法規制に対するコンプライアンスの検証 -クライアント・ガイドラインに対する、定期的な保有アカウントのコンプライアンス・チェック -リーガル部門での法規制およびガイドライン・イシューにおける連絡業務および、会計士およびポートフォリオ・マネジメントとの連絡業務 -The role of this position is to serve as a member of the Trade/Portfolio Compliance team and verify trades to ensure compliance with client guidelines and regulations. -Perform periodical compliance checks of account holdings versus client guidelines. -Iinteract with Account and Portfolio Management as well as the Legal department on regulatory and guideline issues. http://www.careercross.com/00100432.html Fri, 04 Jul 2008 09:11:00 +0900