Compliance Officer

Location 日本
Discipline Legal & Compliance
Job type Permanent
Salary negotiatable based on eperience
Reference 35758


A global asset management firm



-Local regulatory and SRO filing

-Perform monitoring tasks to ensure regulatory, client-specified, and internally established investment restrictions are complied with.

-Review sales and marketing materials on a variety of products and services according to global and local standards

-Perform monitoring tasks to ensure employee compliance with the Code of Ethics

-Perform compliance risk assessment for Japan and Participate in the SSAE18 working team



-Fluent in both English & Japanese

-Experience with investment compliance or portfolio risk management an advantage

-Capable to establish trust and respect of peers and internal clients

-1-2 years in compliance in asset management, investment, banking, insurance, securities companies





-現地規制当局および SRO への届出


グローバルおよびローカルスタンダードに従った様々な商品およびサービスに関する販売・マーケティング資料の確認 -従業員の倫理規定の遵守を確認するためのモニタリング業務の実施