Compliance Officer

Fisher Investments Japan Tokyo, Japan

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The Opportunity:

The FIJ Compliance Officer reports to the FIJ Chief Compliance Officer. The FIJ Compliance department oversees the Fisher Investments Japan (“FIJ”) Compliance Program and functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The FIJ Compliance Officer helps to ensure that the firm and its employees are in compliance with the rules and regulations of Financial Services Agency (“FSA”), that firm policies and procedures are being followed, and that behavior in the organization meets the firm’s Code of Conduct.

The Day-to-Day:

As directed by the FIJ Chief Compliance Officer:

Completing daily, quarterly, and ad hoc compliance monitoring tasks, including AML/CTF transaction monitoring, resolving name screening alerts, gift request approvals, etc.
Resolving simple, general queries including AML/CTF queries from the business
Reviewing sales and marketing materials, documents and external communication to ensure adherence to applicable statutory rules and regulations.
Keeping the Incident and Breach Register up-to-date and following up on incidents.
Assist in ensuring policies are kept up-to-date for any changes in regulation / legislation / process
Aid with regulatory reporting and filings
Assist with auditor’s request for information as directed by the FIJ Chief Compliance Officer
Promote a positive compliance culture and awareness by assisting with the development and roll out of appropriate and tailored training for staff
Perform ad-hoc compliance tasks as directed by the FIJ Chief Compliance Officer

Your Qualifications:

Bilingual in Japanese and English in writing and speaking
Bachelor degree with minimum of 7 years of experience in a Compliance role within a regulated financial services firm (preferably retain business or asset management business)
Marketing ad/material screening experience (preferably HNW retail marketing ad/materials)
An AML/CTF background preferred
Experienced in reading, understanding and summarizing in simple language lengthy regulatory publications
Ability to educate the first line departments on regulatory matters and to handle challenges from individuals in the business
Strong attention to detail and ability to work in a fast-paced environment
Working with a strict deadline
A working knowledge of the general regulatory framework for Japanese financial services licensees preferred
An understanding of discretionary portfolio management, asset management, financial advice and regulatory requirements in Japan preferred
PC skill: Microsoft Excel/Word/Power point

This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. Other duties, responsibilities and activities may change or be assigned at any time with or without notice.

Why Fisher Investments Japan:

At Fisher Investments, we work for a bigger purpose: bettering the investment universe. From unmatched service to unique perspectives on investing, it's the people that make the Fisher purpose possible. And we invest in them by offering exceptional benefits like:

100% coverage of your monthly medical, dental and vision premiums for you and your eligible dependents through Allianz Care
Full refunds on physician fees, prescriptions, testing and more to cover costs outside of national insurance
24/7 access to emotional wellness resources for you and your dependents (Ginger emotional coaches and Allianz Employee Assistance Programme)
Travel support benefits through Allianz and Bupa
This is an in-office role. Based on your role, tenure, and performance eligibility you may have the opportunity to participate in our hybrid work from home program. This program is subject to change.

FISHER INVESTMENTS JAPAN IS AN EQUAL OPPORTUNITY EMPLOYER

キャリアチャンス：

FIJ コンプライアンス・オフィサーはFIJ チーフ・コンプライアンス・オフィサーに報告します。FIJのコンプライアンス部門は、独立した中立的な部で、社内のコンプライアンス関連の課題や懸念事項のレビューおよび評価などを含むコンプライアンス・プログラム業務を担当します。FIJ コンプライアンス・オフィサーは、当社および従業員による金融商品取引法（FIEA）をはじめとした諸規則・規制の遵守や社内規定や手順の準拠状況、また社内の行動が当社の行動規範に準拠しているか継続的に監督することを担います。

日々の業務：

FIJ チーフ・コンプライアンス・オフィサーの指示のもと以下の業務を担当していただきます。

AML/CTFの取引モニタリング、ネームスクリーニングのアラート対応、ギフト承認などを含む、日常的、四半期ごと、都度ごと発生するコンプライアンスモニタリング業務
AML/CTFを含む簡単な照会または一般的な照会対応
セールスやマーケティング資料、文書、外部とのコミュニケーションの関係法令諸規則遵守の確認
インシデントや違反記録の更新とインシデントのフォロー
法令規制やプロセスの変更があった際、社内規定の更新を補助
規制当局への報告および届出業務の補助
FIJ チーフ・コンプライアンス・オフィサーの指示のもと、監査での情報請求対応
従業員に合った適切なコンプライアンス研修の企画と実施を補助し、健全なコンプライアンス文化とその啓発活動を推進
FIJ チーフ・コンプライアンス・オフィサーの指示のもと、単発コンプライアンス業務の遂行

応募資格：

バイリンガル（日本語・英語の読み書きと会話）
大学卒以上で7年以上の金融業（個人顧客事業または投資運用会社は尚可）コンプライアンス経験
マーケティング広告・資料の審査経験（富裕層向け個人広告・資料の審査業務の経験尚可）
AML・CFT経験歓迎
法令諸規則など長い文書を読解し、簡単な言葉で要約する経験
法令諸規則関係についてビジネス部門への教育経験や、ビジネス部門の個々の社員からの課題対応経験
細部まで細心の注意を払い、スピード感のある職場環境で働ける方
期日厳守できる方
日本の金融業免許に係る基本的な規制枠組みに関する実務的な知識歓迎
投資一任業務、資産運用業務、金融アドバイス、日本の規制要件に関する理解歓迎
PCスキル：Microsoft Excel/Word/Power point

この職務記述書は、当該従業員に求められる活動や職務または責任を包括的に列挙し網羅したものではありません。その他の職務や責任、および活動については、事前の通知の有無にかかわらず、随時変更または新たに割り当てられる可能性があるものとします。

Fisher Investments Japanを選ぶ理由：

Fisher Investmentsでは「投資業界をより良くする」という大きなミッション達成を目指し、精進しております。ほかに例をみないようなサービスや独自の投資アプローチといった、Fisherの目的を実現するのは弊社の社員たちです。弊社では充実した福利厚生を提供するかたちで社員に投資しております。

Allianz Careを通じ、ご本人および扶養家族の月額の医療・歯科・眼科保険料を会社が全額負担。
健康保険の対象外となる診療費、処方箋、検査費用なども全額補償。
本人および扶養家族は、GingerのメンタルヘルスコーチやAllianz従業員支援プログラムを通じ、24時間365日メンタルウェルネスサポートをご利用可能。
AllianzやBupaによるトラベルサポート制度利用可。
本役職の方は勤務地への出社が必要です。職務内容、在籍期間、業績に応じて、在宅勤務を組み合わせた柔軟なハイブリッド勤務制度が受けられる場合があります。本制度は変更される場合があります。

Fisher Investments Japanは多様性を尊重し、誰にでも均等な機会を提供する企業です。

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