Compliance

• コンプライアンスレビューおよび関連文書の管理
• サプライヤー、輸入業者、当局などの第三者との調整業務(クライアント代理)
• 化学物質規制に関する専門的アドバイスの提供

プロダクトスチュワートシップ マネージングコンサルタント, Chemical Regulatory Managing Consultant

• Develop and maintain the compliance policy framework and internal control rules for the Type I Financial Instruments Business.
• Handle filings, reports, and inspections involving the regulators (Financial Services Agency and Local Finance Bureau) and self-regulatory organizations (Japan Securities Dealers Association, The Financial Futures Association of Japan, The Commodity Futures Association of Japan, and Japan Virtual and Crypto assets Exchange Association).
• Build the customer due diligence (CDD/EDD) framework, run transaction monitoring, and file suspicious transaction reports.
• Conduct trade surveillance for insider trading and other unfair trading practices, and plan and deliver internal compliance training.
• Review advertising and sales materials for conformity with the Financial Instruments and Exchange Act and advertising regulations.
• Build and operate the account-opening review and customer management framework.
• Establish the framework for handling complaints and dispute resolution (FINMAC and similar bodies).
• Keep the group-wide compliance policies aligned with domestic regulations, working with the global team.
• Operate and administer corporate bodies such as the Compliance Committee and the Board of Directors.

Compliance jobs in Japan

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プロダクトスチュワートシップマネージングコンサルタント, Chemical Regulatory Managing Consultant

Compliance Officer

See all jobs on JobTailor

プロダクトスチュワートシップ マネージングコンサルタント, Chemical Regulatory Managing Consultant

Compliance Officer

プロダクトスチュワートシップマネージングコンサルタント, Chemical Regulatory Managing Consultant