Compliance Assistant - Global Broker Dealer

東京23区 外資系企業 外資系企業
  • Competitive salary
  • Expanding business

企業情報

Our client is a global broker dealer holding a Type 1 Financial Instruments Business license in Japan. They provide direct trade execution and clearing services for electronically traded products across multiple asset classes

職務内容

Provide support to the compliance team, including:

  • Monitor effectiveness of compliance policies and procedures, internal control and compliance risk to ensure compliance with Japanese regulations
  • Conduct internal inspections and investigations on potential violations of compliance policies and procedures
  • Support training for employees and consultants on changes and updates on any compliance related matters
  • Communication with other departments in order to provide timely and value-added guidance and advice to those parties on compliance-related matters
  • Ensure local compliance risks are identified, assessed and reported, including proper documentation and follow up
  • Identify and report compliance issues that may require investigation
  • Provide advisory and support of various aspects of the business in Japan regarding compliance and regulatory matters
  • Review new product and business initiatives to implement new rules and regulations internally to ensure the business are complying with Japan regulations
  • Communicate and interact with the regulators
  • Update changes or new Japan regulations that come into place and act accordingly



理想の人材

  • 3+ years of compliance (or related experience) within a regulated financial institution in Japan
  • Knowledge and experience of Type 1 Financial Instruments Business
  • Oral and written fluency in Japanese and English



条件・待遇

  • Competitive salary package
  • Located in central Tokyo
  • Expanding business with good career prospects



コンタクト
Andy Clubbe
求人番号
4220788
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
4220788
企業タイプ