Compliance Advisory Officer

5日前

Japan-Tokyo CPLE

Key Skill Areas & Required knowledge\: 

  • Professional knowledge and expertise of asset management / fund business and those related regulations
  • Proper level of knowledge as Compliance Advisory regarding to the business conducts and global regulatory environment
  • Excellent interpersonal skills
  • Willingness to work collaboratively as a team 
  • Ability to adapt to a new environment
  • Japanese (native) and English (business level) skill

    • Major Accountabilities/Principal Responsibilities:

     Objective

    Compliance Advisory covering primarily Societe Generale (SG) Haussmann Japan, and other legal entities as necessary.

    Duties

  • To take care of the issues including but not limited to all Compliance, regulatory requirements governance related matters.
  • To provide professional Compliance advice to Business, Management and other departments with precise understandings of regulation as well as with professional expertise. 
  • To act as a primary contact of regulators for covering area.
  • To provide professional support to the Management for any governance issues
  • To take care of inspections and examinations for SG group
  • To build strong relationship with relevant stakeholders
  • To evaluate and escalate issues to Head of Japan Compliance, Head of Advisory Compliance and regional compliance management as appropriate.
  • To display a proactive willingness to network with peer firms within the industry and represent SG in cases to express industry opinion.

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