株式会社コトラ(東京本社)

株式会社コトラ (東京本社)

新着 外資系運用会社でのコンプライアンス業務

求人会社名 : 外資系運用会社

求人ID : 112221

  • 語学(英語)を生かす
仕事内容 【Responsibilities】
■ Investment/Trading compliance: daily checking and monitoring of trading data for cross trade, short term trading, market abuse and best execution as well as guaranteed price transactions.
★Answering to queries from fund managers and traders, providing/rejecting approval for specific transactions when needed, keeping abreast of regulatory environment and best practices in this field.
■ Review of the firm’s documents (including legal documents) to be delivered to clients, distributors and authorities under the FIEL, ITM law. and JITA and JIAA rules.
★Specific focus on providing recommendations and advices to the Retail business for new fund launches.
■ Preparing and filing information/documents to the regulatory agencies (FSA, KLFB, JITA and JIAA)
■Ensuring the firm’s activities adhere to the requirements by the regulatory agencies, as well as with the firm’s internal compliance standards (including personal trading and gift and entertainment)
■Reporting of the comp
応募資格 ■ 3 or more years experience in the internal control field (compliance, legal, risk management and audit) preferable
■ Proficiency in English
■ Strong interpersonal and communication skills
■Technical Requirements: MS Office tools (Excel, Word, Outlook, Power Point)
■Bachelor's Degree
勤務地 東京都
勤務時間 同社就業規則に準じます
年収・給与 1000万円~1500万円
待遇 同社既定に準じます
休日・休暇 同社既定に準じます

求人会社概要

求人会社名 外資系運用会社
概要 外資系運用会社
業種 投信・投資顧問

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