Compliance Officer /Auditor
Posted 8 months ago
Financial Services
Tokyo
Financial Services
Tokyo
Posted 8 months ago
| Job Type: | Fixed-Term for first 2 years with eligibility to change to full time (negotiable) |
| The Role | Compliance Conduct daily compliance operations including trade surveillance/monitoring, filing of regulatory reports (large share holding/change report, etc)Establish close communication with local regulatory bodiesEnsure compliance with local rules and regulatory standardsReview and maintenance of internal rules Internal Audit Formulate annual Internal Audit planConduct internal audit and manage improvement plansReport internal audit result to the board |
| Requirements / Skills: | Minimum bachelor’s degree (Post-graduate degree is a plus) 5 – 15 years of experience in finance (not limited to asset management) in Compliance / Internal Audit / Legal departmentJSDA gaimuin license mandatory (Money Lending Operations license a plus)Prior experience in facing or interacting with regulatory bodiesAbility to read and write Japanese and English at a native levelAbility to read and understand applicable local rules and regulations, and reflect it onto company policies and proceduresBasic understanding/familiarity with Microsoft Word, Excel, PowerpointDetail orientedCreative and flexible mindsetAble to work under pressure and tight schedule |
Job Level
3. Senior level
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