Compliance and Operational Risk - Investment Management

Tokyo 23 Wards Permanent Japanese Corporate
  • Expanding company with good career prospects
  • Competitive salary package

About Our Client

Our client is a very innovative Fintech company that provides discretionary investment management services for retail investors

Job Description

  • Provide regulatory support and advice for the business from the perspective of compliance and internal control (integrated risk / operational risk management)
  • Planning, execution and management of company-wide integrated risk assessment, formulation of practical improvement measures and execution guidance
  • Compliance monitoring for integrated risk and operational risk management (regular and continuous management system, execution and management status monitoring)
  • Compliance check (review of internal rules, procedure manuals, materials, etc. related to integrated risk and operational risk management)
  • Planning, preparation and implementation of in-house integrated risk / operational risk management training and enlightenment activities
  • Internal regulation management (coordination with related departments responsible for enactment / revision proposals, management of compliance-related regulations)
  • Notifications, reports, communications, etc. to financial supervisory authorities, etc.

The Successful Applicant

  • 5+ years of compliance and / or operational risk management experience within the financial services industry, preferably within investment management
  • Proven knowledge of Financial Instruments Exchange Law (FIEL), particularly related to securities transactions including Exchange-Traded Funds (ETFs)
  • Good communication skills to coordinate with other departments across the business and externally with regulatory bodies
  • Team player with a strong sense of responsibility

What's on Offer

  • Expanding company with good career prospects
  • Good work life balance
  • Located in central Tokyo
  • Competitive salary package

Andy Clubbe
Quote job ref
Phone number
+813 6832 8671

Job summary

Banking & Financial Services
Risk Management
What is your area of specialisation?
Financial Services
Tokyo 23 Wards
Job Type
Consultant name
Andy Clubbe
Consultant phone
+813 6832 8671
Job Reference
Company Type
Japanese Corporate