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米系AM「Head of Compliance Japan.」

募集職種
金融関連/投信・投資顧問/その他
仕事内容
・Liaise with regulators in Japan, such as the Financial Services Agency of
Japan (JFSA), to ensure compliance with statutory rules & regulations.
・Provide the Regional Head of Compliance, Asia Pacific with support, including the identification of rules, risks and business issues, through periodic
compliance governance reports, as well as regular and ad hoc meetings.
・Provide business partners in Japan, and, as required, Korea, with support
and advice on compliance related issues, business growth/change initiatives
and the execution of firm-wide business transformational initiatives.
・Provide compliance reviews and challenges on the business operations, develop and maintain compliance monitoring programs to ensure compliance with relevant regulations and policies.
・Timely escalate any potential material breach/compliance issue upon
identification to Regional Head of Compliance, Asia Pacific and senior
management.
・Provide timely update and/or impact analysis to the Regional Head of
Compliance, Asia Pacific, senior management and/or corresponding teams on the latest status and/or development of the regulatory changes.
・Member of Japan local risk management committee and other local corporate governance committees which require input / advice from Compliance.
・Oversee the Regulatory Reports including Substantial Shareholders Reports
and Short Position Reports.
・Interface with regulatory authorities and manages responses to regulatory
requests, inquiries and onsite examinations.
・Timely communicate any key information and issues to relevant team members in Japan to assess any local regulatory implications. Supervise and provide guidance support to the Compliance team in Japan. Ensures team members are fully trained and adequate compliance oversight and resources as the business needs evolve over time.
・Develop team learning agility and strengthen team collaboration.
・Work with the Global and Regional Compliance teams, undertake special
regional/functional projects.
・Identify and implement continuous improvement opportunities within
Compliance that create operational leverage, including through better use of technology, data and analytics.
・Support the implementation of global enterprise risk management framework, including risk and control assessment, incident management and reporting to relevant governance bodies.
・Liaise with Group Internal Audit and APAC Compliance Monitoring to carry out audit and compliance reviews.
・Carry out other duties / ad-hoc projects as instructed by the Regional Head
of Compliance, Asia Pacific
必要業務経験
(POSITION QUALIFICATIONS / KEY COMPETENCIES)
・Experience of 15 years or more as a compliance professional focusing on asset management regulatory issues or similar capacity
・Extensive knowledge of legal and regulatory requirements applicable to the asset management industry in Japan. Existing regulatory relationships with the regulators in Japan and relevant Korean market experience will be an advantage.
・Seasoned manager with experience in supervising a team of professionals
・Good knowledge in financial products including alternatives
・Native Japanese, proficiency in written and spoken English
・Excellent communication and interpersonal skills
・Analytical and lateral problem-solving ability
・Able to work independently with minimal supervision and under pressure
・Integrity and excellent work ethics
・Degree in Finance, Accounting, Law or equivalent
推定年収
2000~3500 万円
勤務地
東京都
最終学歴
大学
諸手当
人間ドック、保養所、自社持株制度、残業代、退職金(4年目以降)、企業年金
会社名
米系大手アセットマネジメント
業種
金融全般/投信・投資顧問
事業内容
 インベスコ・アセット・マネジメント株式会社は、米国アトランタを本拠地とする独立系運用会社インベスコ・リミテッドのグループの一員です。インベスコ・リミテッドは、ニューヨーク証券取引所に上場しており、米国の株式市場の代表的な指数であるS&P500種株価指数の採用銘柄にもなっています。世界25カ国以上の拠点で資産運用サービスを展開し、2021年12月末時点の運用資産残高は1兆5,853億米ドル。(約220兆円)*を誇ります。
2023年12月末時点。*為替レートは140.98円/米ドルで換算、WMロイターのレートに基づく。

1983年に日本駐在員事務所を設立。日本で35年の営業実績があり、2018年で35周年を迎えました。
【運用資産残高】8兆9,965億円
※(参考)運用資産残高(2017年12月末当時)
国内株式9,124億円、外国株式2,055億円、外国債券12,937億円、バンクローン7,174億円、REIT10,375億円、その他830億円
会社の特徴
米国に本拠地を構える世界有数の独立系資産運用会社の日本拠点です。現在では世界20ヶ国以上に展開し、約111兆円もの運用資産残高を誇る会社へと発展してきました。世界120ヶ国超にわたり幅広顧客層を有し、国内外の株式、債券等の伝統的な資産運用から、バンクローン、不動産、プライベートエクイティをはじめとしたオルタナティブ等を網羅した豊富な商品ラインアップまでを有しています。

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