| 仕事内容 |
Job Description:
The successful candidate will be a senior member of the team, with mainly dedicated securities market areas of responsibility. He/she will be responsible for ensuring appropriate Compliance controls / environments around business conduct with securities related products and services offered to clients as well as relevant internal controls , in line with all applicable laws, regulations and internal policies and procedures.
The successful candidate will provide professional support, specialist advice, training and education on specific regulations where they impact upon products and services provided to clients. Further, as a senior Compliance officer, the person will be expected to bring Compliance know-how to the team as a whole, and assist in the development of more junior team members through experience and best practice.
Key elements of the role include:
・ Identifying potential compliance risks in the business and providing expert advice and feedback on relevant regulatory, market, country and / or business area-specific issues
・ Advising management, client advisors and other internal and external clients, including external regulatory bodies, in order to prevent and control compliance risk
・ Review and approval of relevant conduct of business matters (including products and services to be offered to clients)
・ Working closely with the business to identify opportunities for better or new processes where compliance issues are at stake and developing alternative solutions and recommendations on risk management-related issues
・ Reporting on trends and developments in their area of the business and reviewing and / or producing policies and procedures
・ Developing and / or delivering training on compliance topics |
