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Junior Compliance

Junior Compliance

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

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:

As a member of Communication Monitoring team, there are some daily tasks as well as an ad-hoc tasks; 
Communication Monitoring 

  • Daily monitoring: to review emails, chats, phone record of business side staff, to analyze alerts and close obvious false positive alerts or to escalate to the head of the team for further decision, to maintain appropriate audit trail and documentation of alerts, to mainly update the desk manual, and to work effectively and collaboratively with relevant compliance officers and front office personnel
  • Monitoring systems: to ensure the use of monitoring tools, and to be in charge of evaluating proposed changes of the systems and reporting to the team
  • Support: to collaborate and provide daily support to the team, to support risk and gap analysis, and to assist in preparing information and reporting to the management related with comm. monitoring
  • Issue handling support: to actively participate in investigations into issues found by comm. monitoring as well as responding to request and inquiries from the business lines
  • PDCA: to help the team to review and update the monitoring framework, to ensure documents, procedures, systems and controls are up to date and effecti
  • Region coordinator: to coordinate and participate in regional discussions regarding comm. Monitoring (e.g. new monitoring tool, global monitoring framework, etc.)
  • Other ad-hoc tasks: because Control group handles not only communication monitoring, but also trainings, policy making/update, etc. so this role needs to support and handle various ad-hoc tasks.

応募条件:

  • proactive, independent, interpersonal skills (team spirit), adaptable, results-oriented with a positive outlook;
  • good communication (oral and written);
  • analytical and risk assessment skills;
  • awareness of market abuse typologies relevant to financial instruments
  • strong mentality to confront with business front side and handle difficult and delicate situations;
  • energy and tenacity to work well under pressure and with little supervision
  • precise data handling
  • positive learner
Specific Qualifications Required
  • At least bachelor degree, preferably in law related field
  • Fluency in both Japanese and English at the level of at least reading and explaining Japanese laws and regulations (oral and written). For English – must have ILR Level 3 – Professional working proficiency or ILR Level 4 – Full professional proficiency as minimum)
  • MUST have an experience at a foreign financial security firm (preferably internal control position)
  • IT literacy (middle level of database handling and presentation material creation) 


BRS Consultant

Dollar Abshir Omar

Financial Services

Tel: 03-6386-7448

  • Senior Treasurer(資金部)/ スタッフレベル

    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。

  • 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

    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.