Senior Compliance Officer


勤務地: Tokyo
給与: Undisclosed
職種: 正社員
専門: 金融サービス
参照: 507324308E n/a (DA)

Your New Career Opportunity

This leading investment group company with an award winning research team in Asia regquires a Senior Compliance Officer to support our growing offices in Maranouchi, Tokyo. We are part of the APAC team and your report line would be to the CEO of the Japan office and the Head of compliance APAC in Hong Kong.

The Senior Compliance Officer is required to help us achieve our long term business goals, we seek someone who can cover multiple areas of Compliance including Compliance Advisory, Compliance Monitoring, Compliance testing, and Regulatory Affairs.

Your Responsibilities

  • Primarily responsible for trade surveillance and communication monitoring.
  • Help other members with daily tasks such as KYC, regulatory filings, and Compliance testing.
  • Maintain and implement compliance policies and procedures to ensure compliance with relevant legal and regulatory requirements and with CLSA Group policies;
  • Provide training and support and guidance to CLSA staff members on regulatory and compliance matters
  • Support the Head of Compliance in providing advice and guidance to the local management and business
  • Assist the Head of Compliance in providing update to the local management and the group Head of Compliance
  • Handle regulatory reporting/filing of licenses
  • Honest, transparent reporting, and conduct is required for long term success.

The Benefits You Will Receive

  • Professional and highly competent management team, motivated to achieve growth in Asia and Japan who are responsive, and committed to the business and your success as part of that team
  • Decisive and supportive leadership, we expect the best from you and offer to provide you with the best management decision making processes and consulting, we listen to compliance and seek your advice on best compliance and regulatory practices
  • Competitive salary, we recognize we have a lot of competitors and do our best to offer a fair and competitive compensation, insurance, social contributions and pension.
  • Work from home policy is an on-going option that hope to keep in place.
  • To apply, please submit your resume and we will respond to you shortly.

Expired Job

Sorry, this job is no longer available