- ≪Regulatory Compliance≫
① Be a contact point with the regulator (Kanto Local Finance Bureau) and self-regulatory organizations (Type 2 Financial Instruments Firms Association, Japan Investment Advisors Association) for AG-Japan.
② Prepare and submit various type of reports, notices, applications, registrations, etc. for the regulator / SROs.
① Prepare and maintain internal policies and procedures
② Handle issues and controls regarding material non-public information and client personal information
③ Process quarterly employee personal account reporting
④ Handle other CoE matters including gifts & entertainment, outside activities and political contribution
⑤ Coordinate and provide compliance training
① Monitor sales & marketing activities including client types, funds promoted, etc.
② Review client KYC/AML documentation from the subscribers
③ Review marketing materials
④ Monitor the types, the number and the amount of Japanese subscriptions for each fund promoted in Japan
⑤ Review subscription document and periodical fund report of each fund to make sure the appropriate client asset segregation is put in place.
① Minimum 3-year compliance experience in Japanese financial industry
② Sales & marketing compliance or regulatory compliance
① Good command of oral / written English / Japanese
② Enthusiastic about learning something new
③ Enjoy autonomous and independent environment
④ Enjoy cross-cultural communication
7. Something preferable:
？Experience in investment management business / Type 1 or 2 financial instruments business / investment advisory business
？Experience in working in small team environment
8. Commencement timing
？Before early December
- 1000～1400 万円
- 健康保険 厚生年金 雇用保険 労災保険
- A privately-held registered investment advisor dedicated to alternative investing. Currently manages approximately $25 billion.
- The firm currently manages approximately $25 billion. They seek to generate absolute returns with low volatility by exploiting inefficiencies in selected markets and capitalizing on situations that are not in the mainstream of investment opportunities. We creatively seek out new opportunities that allow us to remain a leader in alternative investments.
－International work environment
－ Modern office located in Tokyo
－Excellent career prospects