Compliance and Operational Risk - Investment Management

東京23区 外資系企業 日系企業
  • Expanding company with good career prospects
  • Competitive salary package

企業情報

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

職務内容

  • 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.

理想の人材

  • 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

条件・待遇

  • Expanding company with good career prospects
  • Good work life balance
  • Located in central Tokyo
  • Competitive salary package
コンタクト
Andy Clubbe
求人番号
4189367
電話
+813 6832 8671

求人情報

分野
業界
勤務地
雇用形態
担当コンサルタント
Andy Clubbe
担当コンサルタントの電話番号
+813 6832 8671
求人番号
4189367
企業タイプ