CDI

Compliance Officer M/F

Modifiée le 13/06/2024

  • Tokyo - Japon
  • Conformité / Sécurité financière
  • 2024-90457

Description du poste

Responsibilities:

1.      Sales & Marketing Compliance

(focusing on whichever of Institutional, Retail, ETF/Index or Alternative Business)

  Review outgoing documents including sales materials, strategy presentation, RFP, fund trust deed, Prospectus, notification letter to investors, etc. to eliminate compliance problems and other inappropriate descriptions in accordance with local industry practices as well as applicable laws, rules, regulations and internal policies.

  Provide necessary instructions and guidance to the staff of the Company for the compliance matters.

  Keep updated on local sales, marketing & distribution regime, work with Paris Client Protection and Distribution teams when necessary to update and implement enhanced sales & marketing compliance framework, etc.

  Any other related matters instructed from the manager.

 

2.      Investment Compliance

  Review and monitor daily trading data for block trade, cross trade, short term trading, close price guarantee transaction, market impact and other market abuse as appropriate. Whenever necessary, working with Paris Market Integrity team.

  Deal with queries from fund managers and traders, handle request for approval for specific transactions.

  Collaborate with fund managers, traders and teams in Paris to evolve existing IT applications and enhance the effectiveness and efficiency of daily monitoring.

  Provide necessary instructions and guidance to the investment staff of the Company for the compliance matters (excluding investment guideline related matters which are handled by other department).

  Any other related matters instructed from the manager.

 

3.      Financial Security

  As a back-up, deal with compliance alerts on AML/PEP generated by Actimize, Fircosoft and other systems. Deal with AML/CFT/KYC/DD requests from business partners such as brokers, trust banks, custodians as well as other asset managers. 

  Any other related matters instructed from the manager.

 

4.      Corporate Compliance

  Prepare and file reports, questionnaires and other documents and data requested by the regulatory authorities as well as the industry associations (FSA, KLFB, JITA, JIAA, JSDA, T2FIFA)

  Monitor employees’ personal trading, gift and entertainment records, outside business activities and other Code related matters.

  Prepare the report on local compliance activities to periodical local compliance committee and Amundi Group Compliance Business Line.

  Keep updated on new laws, rules and regulations as well as implementing global policies, and establishing and maintaining local policies and procedures.

  Provide basic compliance training for new joiners.

  Any other related matters instructed from the manager.

Complément

Candidate should hold a Japan working Visa or have no restrictions on working in Japan

    • Date de prise de fonction
    • 01/09/2024
    • Poste avec management
    • Non
    • Niveau d'étude minimum
    • Bac + 3 / L3
    • Formation / Spécialisation
    • Bachelor's Degree
      10+ years’ experience in the internal control field (compliance, legal, risk management and audit) preferable
    • Niveau d'expérience minimum
    • 6 - 10 ans
    • Compétences recherchées
    • Proficiency in English and Japanese required
    • Outils informatiques
    • MS Office tools
    • Langues
    • Proficiency in English and Japanese required
  • Premier gérant d'actifs européen parmi les 10 premiers acteurs mondiaux [1], Amundi propose à ses 100 millions de clients - particuliers, institutionnels et entreprises - une gamme complète de solutions d'épargne et d'investissement en gestion active et passive, en actifs traditionnels ou réels. Ses six plateformes de gestion internationales [2], sa capacité de recherche financière et extra-financière, ainsi que son engagement de longue date dans l'investissement responsable en font un acteur de référence dans le paysage de la gestion d'actifs. Les clients d'Amundi bénéficient de l'expertise et des conseils de 5 300 professionnels dans 35 pays. Filiale du groupe Crédit Agricole, Amundi est cotée en Bourse et gère aujourd'hui plus de 2 000 milliards d'euros d'encours [3]. Amundi, un partenaire de confiance qui agit chaque jour dans l'intérêt de ses clients et de la société. [1] Source : IPE « Top 500 Asset Managers » publié en juin 2022 sur la base des encours sous gestion au 31/12/2021 [2] Boston, Dublin, Londres, Milan, Paris et Tokyo [3] Données Amundi y compris Lyxor au 31/03/2022 En agissant chaque jour dans l'intérêt de la société, nous sommes un groupe engagé en faveur des diversités et de l'inclusion. Tous nos postes sont ouverts aux personnes en situation de handicap.

Amundi
Amundi
Amundi

Amundi

Compliance Officer M/F

Publiée le 13/06/2024

CDI
  • Tokyo - Japon
  • Conformité / Sécurité financière
  • 2024-90457

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