Job Description

社名
社名非公開

職種

業務内容
 Work closely with the Head of Compliance to formulate and implement internal controls andcompliance policies / procedures. To be a contact point for any inquiries from regulatorsManage all compliance matters of the organization and perform regulatory reporting.Set up internal controls to manage regulatory compliance from FIEL requirement.Conduct internal trainings to the staffs.Handle the day to day operations of the complian ce department including Transaction Monitoring,Trade Surveillance and ScreeningProvide necessary advise to the internal stakeholders including business functions on regulatorymatters.Conduct KYC reviews in coordination with Operations.Assist all int ernal and external inspections and auditsPerform QA/QC & Compliance testing .Assist on conducting annual Compliance Risk Assessment.Manage and handle customer complaints in coordination with Customer Services Team .Set up internal controls to comply with the stock exchange / JSDA regulations and rules.Set up internal controls to comply with the data privacy laws and rules.Handle review of marketing materials and prevent advertisements or marketing campaigns that areagainst the rules and regulations.Maintaining and updating compliance policies and procedures, in accordance with any regulatorychanges (new and revised).Carry out other periodic/ad hoc compliance testing .Review and prepare contracts. Work closely with external lawyers for any legal inquiries.

求められる経験
Bachelor’s degree holder, with at least 5 years of working experience, from a compliance function in
a security firm.
Knowledge on equity product related rules and regulations and other self regulatory bodies .
Team player with excellent interpersonal and communication skills.
Ability to speak, read and write in English is a plus.
Able to work independently with minimal supervision.
Proficient in MS Office applications.

保険
健康保険　厚生年金保険　雇用保険

休日休暇
土曜日　日曜日　祝日

給与
年収1,200 ～ 1,500万円

賞与
¥500,000 - ¥2,000,000
雇用期間
期間の定めなし

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