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International Compliance Officer

International French Security Firm

職種ストラクチャードファイナンス
給与 800 - 1300 万円
日付2017-10-25
業種証券
勤務地東京
求人番号Job-00039029

会社概要:

The client is a major global Financial Institutions covering; corporate banking, securities, and investment banking, with a long history/presence in the Japanese market.

業務内容:

 

  • Responsible for the development and coordination of a compliance/firm wide Control Program (CSA/Control Testing)
  • Responsible for handling the global/regional compliance reporting
  • Managing/Tracking incidents reports and coordinating the remediation plans, etc.
  • Manage regulatory change in close coordination with Legal and Business and Control Functions to eliminate the risk of regulatory sanctions and reputational damage
  • Filing regulatory reports prepared in Compliance
  • License applications / maintenance etc.
  • Distribution of regulatory notice and analyze the impact
  • Responsible for the implementation of new regulations/global policy to local rules
  • Responsible for pre-clearance of employee trading activity, review and approve employee brokerage accounts and private investment requests
  • Managing/Tracking progress of project/event within a department
  • Support regulatory inspection handling to eliminate the risk of regulatory sanctions
  • Other core compliance tasks

応募条件:

  • Relevant experience in compliance, risk management or regulatory related functions
  • Analytical skills and attention to detail
  • JSDA Internal Control Manager (日本証券業協会 内部管理責任者) is preferable
  • Behavioral competencies required
  • Ability to work independently as well as part of a team
  • Team player and excellent interpersonal and communication skills
  • Ability to work with other departments to identify any control enhancements that will reduce associated regulatory risks
  • Willingness to learn and understand regulations


BRS Consultant

Dollar Abshir Omar

Financial Services

Tel: 03-6386-7448

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    職種ストラクチャードファイナンス
    給与 500 - 800 万円
    日付2017-10-25
    業種証券
    勤務地東京
    求人番号Job-00039927

    概要:

    The client is a major global Financial Institutions covering; corporate banking, securities, and investment banking, with a long history/presence in the Japanese market.

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    アジア・パシフィック全体の資金調達を行います

    職種ストラクチャードファイナンス
    給与 550 - 1000 万円
    日付2018-01-19
    業種銀行業
    勤務地東京
    求人番号Job-00040395

    概要:

    海外に本社を置く大手自動車メーカーの100%出資会社です。 日本におけるグループ会社のファイナンス会社としてグループ社が製造する高級車をご購入されるお客様へ様々なファイナンスプログラムを提供しております。 さらに、同高級車正規販売店向けのファイナンスプログラムもご用意致しております。