Job summary
| Job category | Administrative (Human Resources / Finance / Legal / Public Relations)／Legal Affairs / Intellectual Property / Credit Management / Compliance |
|---|---|
| Industry | IT / Communications / Internet／ Other IT / Communications / Internet |
| Employment type | Uncategorized |
| Position level | Director or Above |
| Number of openings | 1 |
| Desired entry time | - |
| Required language skill | |
| Foreign language competence | - |
| Working hours | Others |
| Welfares / Leave systems | |
| Assistance in visa application | - |
| Number of foreign employees | - |
Work details
The Company:
A large and established global asset manager.
The Role:
Compliance Officer/ Trade Monitoring Officer
The role will report to the Head of Legal & Compliance
Will be responsible for trade monitoring and checking investment restrictions of funds.
Reviewing and approving marketing materials and pitch books
Responsible for compliance monitoring to ensure adequacy of business operation in including managing conflict of interest.
Required Skills and Experience:
Prior experience in either buy-side trading OR monitoring and surveillance to various buy-side trading such as dark pool trading.
Experience in trade monitoring at brokerage houses or regulatory bodies is also welcome.
Strong communication skills (both written and oral) in English language.
Proficient in Excel and Bloomberg.
CMA or CFA is preferred.
About interview
Liaison
Trade Monitoring/ Compliance Manager
RGF HR Agent
800 〜 1400 ten thousand JPY
