Director, Legal

1ヶ月前


Minato ESR Group Full time

(法務)

  • 法的要件を遵守しつつ、部門横断的なプロジェクトに参画する
  • 外部法律顧問の支援を受けながら、各種契約の締結に関する法務支援を行う
  • 英語および日本語によるコマーシャル契約のレビュー、起案、交渉を行う
  • 法務関連事項について、社内外のステークホルダーと連携・協働する
  • 国内外の法務プロジェクトを主導または支援する

(コンプライアンス)

  • 投資助言・代理業および第二種金融商品取引業の登録ライセンスに関するコンプライアンス事項について助言を行う
  • 上記2つのライセンスの申請および維持管理を監督する
  • ESRグループ・コンプライアンス部門と連携またはその指導のもと、社内コンプライアンス体制、マニュアル、研修プログラムの策定・更新を行う
  • ESRグループへの新規関係者との取引に際し、KYCプロセスの一環として承認業務を遂行する
  • ESRグループ・コンプライアンスの下、マネーロンダリング防止責任者として役割を果たす
  • ESRグループ・コンプライアンスおよび監督官庁との主要な窓口として対応する

(その他)

  • ISO14001に基づく環境マネジメントシステムの運用管理を行う

(Legal)

  • Engage in cross-departmental projects, ensuring adherence to legal requirements.
  • Provide legal support in executing various contracts with the assistance of external legal counsel.
  • Review, draft, and negotiate commercial agreements in English and Japanese.
  • Collaborate with internal and external stakeholders on legal matters.
  • Lead or support local or global legal projects.

(Compliance)

  • Advise on all FIEA compliance-related matters as a licensee of Investment Advisory and Agency Registration and Type II Financial Instruments Business Registration.
  • Oversee the application and maintenance of the two licenses mentioned above.  
  • Develop and update internal compliance frameworks, manuals, and training in collaboration with or under the direction of ESR Group Compliance.  
  • Render the approval on onboarding new parties to ESR Group as part of the KYC process.  
  • Act as the anti-money laundering officer under ESR Group Compliance.
  • Serve as the primary contact for ESR Group Compliance and Regulators.

(Other)

  • Administer the environmental management system in accordance with the documents of ISO14001.

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