Compliance Officer (Legal and Compliance)
仕事内容
DESCRIPTION
Primary Responsibilities
- Provide compliance guidance to fixed income businesses with respect to the relevant compliance policies and procedures and relevant Japan laws, rules and regulations, which are mainly related to their day to day businesses, including sales and trading, and lending businesses.
- Articulate and maintain the code of conduct required by the laws, regulations and policies governing these business operations.
- Monitor changes in laws and regulations affecting the businesses, and implementing a compliance program to ensure compliance.
- Implementing appropriate policies, training, testing and monitoring and advisory coverage for the business.
- Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary.
- Conduct regular compliance training for business unit professionals and supervisors.
- Assess potential risks associated with the coverage area and address to enhance internal control functions as well as assist front line risk management framework.
- Participate in review and approval of New Instruments and New Products for individual investment teams
- Keep abreast of new regulations and communicate such updates to affected business areas to ensure that the firm has appropriate controls in place
応募資格(必須経験など)
QUALIFICATIONS
- Minimum of 7 years compliance, legal, audit or other control function experience covering fixed income businesses, with experience in derivatives and structured products;
- Inquisitive and proactive in identifying risks and proposing solutions;
- Good interpersonal skills and excellent written communication skills;
- Ability to work with a variety of senior and junior people, and build smooth working relationships;
- Good team player - one who is able to prioritize in a fast moving, constantly changing environment;
- Entrepreneurial inclination - ability to work alone and act as project manager;
- Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment;
- Ability to handle multiple tasks simultaneously and work under tight deadlines.
- Excellent communication skills, both written and oral. Bilingual fluency.
- Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results