規制対応から内部統制まで幅広く経験を積める環境
About Our Client
急成長中の外資系証券会社。個人投資家向けサービスを展開し、革新的なプラットフォームを提供しています。コンプライアンス部門は、法令遵守と業務効率の両立を目指し、ビジネスの健全な成長を支えています。
Job Description
コンプライアンス部門の運営と規制対応の支援
内部統制の構築と規制違反への対応
顧客管理(AML対応)および取引監視・疑わしい取引の報告
金融庁・監督機関からの照会対応、監査・検査の対応
苦情対応(FSAのルールに基づく)
データプライバシー法の遵守
マーケティング資料・外部委託のレビュー(FSAガイドラインに準拠)
規制変更に伴うポリシー・手続きの更新
その他、必要に応じたコンプライアンス業務
The Successful Applicant
A Successful Compliance Manager Should Have
学士号取得者、2年以上の実務経験(証券会社でのコンプライアンス経験歓迎)
金融商品取引法(FIEL)に関する知識
FATCA、QI、CRSの理解があれば尚可
チームプレイヤーであり、優れた対人・コミュニケーション能力
英語での読み書き・会話ができれば尚可
自律的に業務を進められる方
MS Officeの基本操作スキル
What's on Offer
年収10,000,000円から15,000,000円
成長企業でのキャリア構築
幅広いコンプライアンス業務に携われる環境
国際的な業務経験の機会
このポジションにご興味がある方は、ぜひご応募ください。あなたの経験とスキルを活かせるチャンスです
Contact: Ying Wei
Quote job ref: JN
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