会社名非公開

Japan Compliance Officer - Global Online Brokerage (BB-862D0)

次の場所にあります: Jooble Japon

説明:
Due to their recent strong business performance a global online brokerage is expanding their business and launching a new entity in Japan. As a result, they are seeking an experienced compliance officer to join their Tokyo office as a key member of the founding team.

Description

* Work closely with external counsel to file relevant regulatory documents with the FSA to obtain a Type 1 Financial Instruments Business Operator (FIBO) license
* As a standalone compliance officer, assume overall responsibility for the compliance function in Japan
* Provide compliance advice and support to the business to ensure compliance with local laws and internal policies and procedures
* Advise on compliance-related issues relating to AML, KYC and marketing advertisements etc.
* Responsible for compliance monitoring and surveillance
* Build and maintain good working relationships with the local regulators
* Oversee the management of complaints from clients with and ensure appropriate mitigating actions are adopted by the business
* Stay up-to-date with regulatory changes and ensure policies and procedures are updated accordingly
* Participate in ad-hoc projects and tasks as and when required

Profile

* 5+ years of Compliance experience within financial services, preferably with experience working in a Type 1 licensed Financial Instruments Business Operator
* Good working knowledge of relevant Japanese laws and regulations
* Knowledge of financial products, particularly Equities, ETFs and FX
* Oral and written fluency in both written and spoken English and Japanese
* Ability to work independently and efficiently
* Strong organization, communication and interpersonal skills
* Ability to work effectively with and influence staff at all levels

Job Offer

* New business with good career prospects
* Broad responsibilities
* Competitive salary

応募は、以下の応募ボタンからお願いします。詳細につきましては、Andy Clubbeにお問い合わせくださいclick apply

calendar_today2ヶ月前

関連業務

location_on東京都, 日本

work 会社名非公開

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