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Location

Work Type

Salary

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Regulatory Affiars (legal / comlpiance)

Great Opportunity in Global Company

Category Legal Affairs / Compliance
Salary 7 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3825034
Post Date 2014-04-19
Responsibilities
-Working closely with legal counsel, and assist him/her on communicating with FSA
-Monitors and evaluates existing, new and proposed regulations in Japan
-Provide day-to-day regulatory advice to management, staff and other stakeholdrs
Internal Audit - Associate

Internal Auditor in Financial Firm

Category Internal Audit
Salary 8 - 11.5 M¥
Work Type Permanent
Location Tokyo
Ref.# TFUKU 3581511
Post Date 2014-04-17
Responsibilities
- Participation in planning and scooping reviews, meeting with key people within the area being reviewed to understand and walk through the business and technology processes and identifying the key risks and controls to be assessed.
- Preparation of the audit testing program and assessment of the adequacy of the design and operation of the controls associated with the key risks identified.
- Assessment of the risk and impact of the issues identified on reviews and production of the report to management.
- Follow up with clients on remediating of actions coming out of issues identified during audits.
- Ad hoc work on firm-wide projects around new processes or activities and investigation of incidents.
- Ongoing liaison with colleagues globally and internal and external stakeholders including regulators and external audit.
- Maintenance of internal client relationships and regular interaction with the business during the year to assess changes in the control environment and other matters arising in the business.
Equity Compliance - VP

Great Equity Compliance VP role

Category Compliance
Salary 15 - 18 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3707475
Post Date 2014-04-17
Responsibilities
- Reporting to the head of Equities Compliance (Equities Compliance is a part of Advisory Compliance & Monitoring Department)
- Responsible for Equities Compliance (Equity Compliance covers the businesses which mainly deal with listed products including listed derivatives etc. and currently there is more than 80 staff in the front office)
- Equities Compliance Role is: providing advisory, conducting training, implementation/updating policies and procedures, establishing good relationship with relevant authorities such as the relevant exchanges, JSDA etc. and handles regulatory inspections etc.
- It is expected to closely work with other Compliance functions such as Control Group & Research Advisory Department and Central Compliance Department etc.
- Form key partnerships with Compliance, Operations, Legal, and other important infrastructure groups.
- Interact and establish relationships with desk supervisors.
Trade Surveillance Compliance Officer

Challenging compliance role!

Category Compliance
Salary 8 - 13.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3730421
Post Date 2014-04-17
Responsibilities
-Communication monitoring
-Trade surveillance
-Compliance testing
-Regulatory inquiries
-Position monitoring
コンプライアンスオフィサー(Associate / VP)

大手企業でしっかりとコンプライアンス業務の経験を活かしスキルアップが図れます

Category Compliance
Salary 11 - 15 M¥
Work Type Permanent
Location Tokyo
Ref.# KAHA 3704161
Post Date 2014-04-17
Responsibilities
売買管理部における
-コントロール・ルームでの法人関係情報管理
-売買規制等の業務、
-取引審査業務
リサーチ アナリスト

マクロ経済分析をされたい候補者をお探しです。

Category Credit / Market Risk
Salary 5 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# TTOMI 3856815
Post Date 2014-04-17
Responsibilities
*マクロ経済分析
*リスク管理
*ストレスシナリオの作成
Legal and Compliance Manager

Tokyo based Legal and Compliance Manager

Category Compliance
Salary 8 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3868121
Post Date 2014-04-17
Responsibilities
- Reviewing of documents and responding to document requests by regulators, clients and relevant third parties

- Working closely with the Group General Counsel, Group Company Secretary and the team in Tokyo on matters effecting the Japan business

- Liaising with external counsel and business units on legal and compliance related topics

- Providing day to day compliance support in relation to applicable laws and regulations

- Be the point of contact for interactions with regulators and relevant parties

- Providing Internal Audit Support related to FIEL requirements
Forensic Services Advisory

Develop in fraud and forensic advisory

Category Compliance
Salary 5 - 9 M¥
Work Type Permanent
Location Tokyo
Ref.# LPOON 3397256
Post Date 2014-04-16
Responsibilities
- Provide financial advisory services to foreign and domestic clients
- Fraud investigation and risk management services
- Corporate intelligence and e-discovery advisory
- Intellectual Property and contract governance
- AML support
Central Compliance Officer

Compliance growth with market leader!

Category Legal Affairs / Compliance
Salary 8 - 12.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3729783
Post Date 2014-04-16
Responsibilities
-Play the advisory role to Business in areas such as Data Privacy, Staff On/Off-boarding, Off-shoring & Outsourcing, Customer Protection/Client Complaints, Personal Account Dealing to ensure compliance with laws, regulations and internal policies.
-Interfacing with Regional Compliance and other internal teams
-Establish and maintain strong regulatory relationships with Japan regulatory bodies
-Maintain the records of Compliance sign-off and due diligence
-Conduct compliance training and communication activities for all employees
-Conduct assessment exercises to evaluate the effectiveness of Core Compliance
-Lead and contribute to the implementation of policies and procedures location/legal entity wide
-Compliance information gathering and consolidation
-Prepare for BCP documents
-Monitor new laws and regulations and contribute to industry discussion and rule-making
Retail Risk Manager (Bank)

Good work life balance!!!

Category Back Office / Operations
Salary 8 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# LPOON 3712845
Post Date 2014-04-16
Responsibilities
- Monitor and reduce risk level in sales activities
- Create risk management framework for the bank
- Implement rules and action plans according to guidelines from regulators
- Lead risk management projects
Equity Compliance Officer - mid-level

Exciting role with Front Office exposure

Category Compliance
Salary 8 - 12.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3589366
Post Date 2014-04-16
Responsibilities
- Daily Trade Surveillance covering the regulatory requirements as well as the firm's commitments made in past inspections, using monitoring applications and procedures that have been developed for this purpose (including vendor applications).
- Learning about equities related regulations (incl. FIEA, JSDA Rules, Exchange Rules), and start off with handling the following issues:
Error handling ; Receiving adhoc inquiries to GECD Advisory Compliance
- Investigation and communication of issues identified from the monitoring and surveillance activities and work closely with the Business and Compliance advisors to solve issues.
Compliance Officer - Insurance

Stand alone compliance role

Category Compliance
Salary 7 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3861144
Post Date 2014-04-16
Responsibilities
- Liaise with regulators and prepare necessary documents.
- Maintain contact with industry associations and be involved in the preparation of necessary documents
- Perform relevant compliance checks ijn relation to the various business functions.
- Maintain books, documents and records required by laws and regulations.
- Liaise with lawyers when professional opinion would be required.
Compliance Officer

Challenging compliance role!

Category Compliance
Salary 8 - 12.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3887822
Post Date 2014-04-16
Responsibilities
(Securities side)
- Applications, notifications and reporting to and a contact point for authorities such as FSA, SESC and JSDA as well as dealing with the inspections by them.
- Establishment, amendment and abolishment of the internal rules, etc., related to the operations and management and supervision of the status of the compliance to the rules.
- Establishment of the internal compliance system for the operation of the company and training of the staff, Including the creation, monitoring and reporting of the compliance program,
- Review of the Advertising, etc. sales materials and other documents.
- Control and management of undisclosed corporate information (insider information) and handling of the personal trading
- Management of the claims from clients
- Anti-Money Laundering control

(Asset Management side)
- Review of the Advertising, etc. sales materials and other documents for Pension funds and institutional clients and prospects
- Support the other staff for applications, notifications and reporting to and a contact point for authorities such as FSA, SESC, JITA and JIAA as well as dealing with the inspections by them.
- Support the other staff for Review of the Advertising, etc. sales materials and other documents for the investment trust business
- Back-up the other staff for the monitoring the best execution, cross trade and short term trading etc.
M&A

Chance to grow experience in M&A

Category Front Office
Salary 5 - 8 M¥
Work Type Permanent
Location Kanagawa
Ref.# JKAMI 3617585
Post Date 2014-04-15
Responsibilities
- All M&A Processes : from Targeting to Post merger
- Reporting to Controller and Representative Director
引受関係ドキュメンテーション

証券会社経験者採用、ポテンシャル採用

Category Back Office / Operations
Salary 4 - 9 M¥
Work Type Permanent
Location Tokyo
Ref.# MHASH 3780446
Post Date 2014-04-15
Responsibilities
*株式引受・債券引受のドキュメンテーション業務
Corporate Bank Compliance Officer

Challenging compliance role!

Category Compliance
Salary 9 - 12.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3873192
Post Date 2014-04-15
Responsibilities
- to give advice to the business on legal compliance matters
- to establish, develop, review and update compliance related local and global policies and rules in line with applicable laws and regulations
- to monitor the business activities and policy implementation status of ICG
- to provide necessary compliance trainings to the ICG employees
- to coordinate with the business and other control functions to perform the above roles
商品管理部FSA折衝

落ち着いた雰囲気の外資系保険会社で働きませんか

Category Insurance
Salary 7 - 11.5 M¥
Work Type Permanent
Location Tokyo
Ref.# MHASH 3898564
Post Date 2014-04-14
Responsibilities
*商品開発および法令改正等に関し、約款・事業方法書の作成、改廃
*FSA折衝においては主担当として申請内容を説明し、必要な資料を準備する
*FSAに関する各種業務への対応
*ご契約のしおり/約款の作成、管理
*ジュニアスタッフの指導
Real Estate Corporate Secretary

Real Estate Fund Governance Specialist

Category Compliance
Salary 7 - 11.5 M¥
Work Type Permanent
Location Tokyo
Ref.# AMINT 3911922
Post Date 2014-04-14
Responsibilities
* Corporate/legal procedures for the SPCs
* Liaising with the relevant internal parties both onshore and offshore
* Assisting the overseas team to managing the time-line and coordination for the legal and internal procedures
* Liaising with the overseas team to coordinate the holding of meetings, including their quarterly meetings, preparation of onshore corporate documents, back up documents and acting as a point of reference between the teams in Japan and Europe
* Liaising with the external legal counsel for certain procedures
* Storage and maintenance of the company documents on the relevant internal drives and as well as filing of hard copy documents
* Corresponding with the lender to satisfy any of their requests for documentation
* Stay informed of developments in Japanese FSA regulatory and TMK Law and ensure that it is correctly applied, where required
* Management of company registered seals for real estate fund management
* Liaising with the independent director
* Maintenance of the database
* Familiarization with the fund structures and there approval processes
* Maintenance and observe the Real Estate Brokerage License
* Compliance Coordinator of Real Estate Dept.
不正調査

事業再生部門の専門チームで不正調査のお仕事をしませんか

Category Internal Audit
Salary 6 - 18.5 M¥
Work Type Permanent
Location Tokyo
Ref.# TTOMI 3676398
Post Date 2014-03-27
Responsibilities
*売買契約書、ライセンス書類、保険金請求書類、ロイヤリティ料支払明細書など情報源となる原資料のレビュー
*電子メール等のデータ検索を通じ、問題となりうる事項の識別
*偽造、不正な修正行為等の文書レビュー
*詳細な財務分析、損害額の算定、ロイヤリティ料報告における不正、不正行為による被害額等の計算等
オペレーションマネージャー

英語力とマネジメント能力を活かしてステップアップしませんか

Category Back Office / Operations
Salary 8 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# MHASH 3817000
Post Date 2014-04-11
Responsibilities
*店舗を訪問し、チームの日々の活動をチェック、レビュー
*サポートスタッフの継続的訓練と能力開発
*アドミ機能の効率化
*APACリージョナルマネージャーへのレポーティング
Compliance Senior Manager

Great mid-level compliance role

Category Compliance
Salary 10 - 14 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3869207
Post Date 2014-04-10
Responsibilities
- day-to-day Compliance coverage of the Japan businesses

- Providing applicable compliance feedback on relevant regulatory requirements for new products and businesses

- Making sure all relevant businesses and staff operating in Japan are in compliance with all applicable rules and regulations and licensing requirements

- Help develop and put in place policies, procedures and processes in relation to sales and trading safeguard commitments to regulators

- Developing, testing and reviewing compliance controls in trading to make sure internal protocols and regulatory requirements are being met

- Building productive relationships with regulators through proactive involvement in regulatory matters

- Help prepare and review responses to regulatory queries

- Reviewing an preparing regulatory reports, management reports and other ad hoc reports

- Other compliance matters and projects as defined by the Japan Head of Compliance
不正調査

新しいスタンダードを一緒に作り上げていきたい方に適しています。

Category Back Office / Operations
Salary 7 - 9 M¥
Work Type Permanent
Location Tokyo
Ref.# TTOMI 3877408
Post Date 2014-04-09
Responsibilities
*不正調査にかかわる業務
*疑義を見つけ出す
*不正請求かどうかを見極める
*調査計画、結果に関連した報告書の作成
証券会社監査部

あなたの監査の経験を今、伸びている証券会社で活かしませんか

Category Internal Audit
Salary 8 - 13.5 M¥
Work Type Permanent
Location Tokyo
Ref.# MHASH 3780447
Post Date 2014-04-08
Responsibilities
*金融機関での内部監査のご経験、
*監査法人で、証券会社をはじめ、金融機関を監査されたご経験
Central Compliance officer

Great junior Compliance position !

Category Compliance
Salary 7 - 10.5 M¥
Work Type Permanent
Location Tokyo
Ref.# NRUME 3887413
Post Date 2014-04-08
Responsibilities
- Process registration/de-registration
- Process and notify exam dates and results/continuing education trainings
- Update HR weekly movement to compliance master data/license tracker
- Conduct JSDA misconduct check
- Weekly new hire documents check (update file and send it to HR)
- Monthly reconciliation between HR monthly employee list and compliance master data
- Process invoices from JSDA: 20 min/month
- 15a-6 registration/termination
- Check regulatory sites, and create a list of notices to distribute to relevant recipients the daily regulatory notice mail
- Oversee process to confirm required explanations are provided to over visitors
- Chopping corporate seal on documents in the morning
- Attend monthly meeting
- Preparation for annual repot in COB system (COBTrac)
- COB test preparation and participation
- Carry out daily and monthly updates of insiders list
Legal Officer - Insurance

Junior legal officer role based in Tokyo

Category Compliance
Salary 6 - 7 M¥
Work Type Permanent
Location Tokyo
Ref.# BCIEB 3868029
Post Date 2014-04-07
Responsibilities
- Provide timely legal advice
- Review legal documents in Japanese and English

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