【プライベートエクイティファンド】　社内弁護士（リーガル・コンプライアンス）　年収1800万円～3000万円 【職務内容】 ■下記業務において、全社横断的に法務・コンプライアンス上の可否判断を行う。 ・投資先の発掘及び分析・評価に係る業務 ・投資実行に係る業務 ・投資先の事業価値向上の為の戦略策定に係る業務 ・投資先の株式公開支援等に係る業務 ※上記業務のプロジェクトメンバーとしても事業参画頂きます。 【想定年収】 ■1800万円～3000万円（経験・能力を考慮の上、規程により優遇） 【想定年齢】 ■28歳～42歳 ※年齢制限理由：技能・ノウハウの継承の観点から、特定の職種において労働者数が相当程度少ない特定の年齢層に限定し、かつ、期間の定めのない労働契約の対象として募集・採用するため 【会社紹介】 ■日本屈指のプライベートエクイティーファーム。 ■M&A、事業再編・再構築、バランスシート効率化、負債構造のリパッケージ等のコーポレートファイナンス的な手法を活用することは勿論、コーポレートガバナンス面での適切なアドバイスを行ったり、事業性や潜在成長性を効果的に投資家に伝えるIR活動を強化。

· 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

lLead internal control/ risk management along with our Controller lHandle all communications with the FSA including at the time of an on-site inspection lUnderstand and update current laws and regulations governing business, and develop compliance programs, ensuring that operations are in compliance of these laws lCreate a compliance infrastructure for the firm, including creating a Compliance Manual and performing periodical audits in accordance with the compliance manual; report findings to the directors of the company lOrganize and conduct compliance training sessions for the directors and employees of the company lReporting and filing with the regulatory authorities lCompliance review of new products, deal structures and all related agreements

Compliance Risk - Set policies and standards to cover compliance issues and risks Train and educate staff to foster strong compliance culture within the company - Support line management in discharging their responsibilities to comply with applicable Regulations (e.g. by reviewing new products / services for any possible compliance implications, advising on systems enhancement initiating changes to relevant manuals to reflect regulatory changes or requirements, monitoring the businesses for adherence to the Regulations, assisting the Board of Directors by functioning as Corporate Secretary, chairing Local Compliance Committee for management decisions and necessary reporting, and providing input to audit both external and internal) - Assist line management when conducting of crisis management - Foster good relationships with regulator - Advise line management of the impact on the business of applicable regulations including any regulatory changes - Assist management to establish a strong corporate governance structure and culture - Protect and enhance the already established good reputation of the company and safeguard the company from any possible damage to this reputation Operational Risk - Continually re-assess the operational inherent risk in the business, taking account of changing economic or market conditions - Legal and regulatory requirements, operating procedures and practices, management re-structuring and the impact of new technology

- Matters related to JSDA qualification and registration, including training arrangements, registrations, notification of renewal exams and follow-ups - Prepare reports for large shareholding on behalf of Company’s Main group - General administrative tasks for the department, including internal distribution of regulatory notices and mails/publications received from external parties, processing expense-related documents and filing of documents - Assist other staff members in carrying out their compliance duties, including assistance related to trade surveillance, compliance-related training, pre-publication review of research reports and such other specific tasks as may be assigned to him/her from time to time

· Handle compliance matters including reporting to the authorities and associations, performing day-to-day controls, reviewing and establishing internal rules, and giving compliance-related instructions to other departments · Handle legal matters including preparing and reviewing legal documents, and liaise with external lawyers · Handle corporate secretarial matters including controlling the agenda of corporate meetings and preparing minutes of meetings and documents for commercial registration

-日本証券業協会（JSDA）への登録申請サポート -登録者へのJSDAの継続的教育サポート -JSDA試験および登録申請の申込書準備 -Series 7登録のサポート -登録状況の管理 -登録に関し、HRおよびプロダクト・コンプライアンス・オフィサーとの交渉・連絡業務 -Provide support on JSDA registration to all new hires. -Provide on-going support on JSDA continuing education for JSDA registered person. -Prepare application for JSDA examination and registration with JSDA. -Provide support on US registration (e.g. Series 7) and continuing education for limited number of relevant employees. -Administration of registration status. -Interaction with business people, HR and product compliance officer on registration issue.

Establish compliance state of alert Prepare and revise compliance manuals and compliance programs Monitor compliance status from operational compliance point of view Respond to consultation from other groups regarding legal matters such as reviewing contracts, etc.

Under the Fixed Income Division Coverage, this person will be supporting the Fixed Income Coverage Officer with Fixed Income business. This person will have frequent communication with Legal reporting line both domestically and globally.

Accountabilities Coordination and management of internal/external audit processes, covering operations and technology areas of a financial industry. Tracking and periodical reporting of issues to senior management Enhancement of an internal control system Preparation and enhancement of compliance with regulatory requirements such as compliance with J-SOX and Personal Information Protection Act