Compliance – Analyst / Associate, Tokyo
仕事内容
・Ensure timely execution of regulatory filings and notifications for Blackstone Japan as well as Blackstone-managed funds registered in Japan with various regulators
・Manage submission of periodic regulatory reports
・Ensure registration status of JSDA sales representatives, including training requirements
・Maintain legal ledgers as well as various compliance registers and logs
・Review and approve marketing materials to ensure compliance with the Japanese law and regulations
・Conduct a compliance training for new joiners
・Monitor fund registrations and regulatory notifications for Blackstone funds
・Conduct periodic checks on compliance with Japan-specific rules and policies including but not limited to Blackstone Japan’s Compliance manual, the Japan AML Act, the Personal Information Protection Act, etc.
・Perform compliance checks on new clients and vendors
・Assist in ensuring proper documentation for Blackstone Japan’s board/shareholder meetings and resolutions to comply with the Companies Act
・Assist in periodically updating Blackstone Japan’s policies and procedures
・Assist in handling regulatory inquiries and inspections and conducting regulatory training
・Ensure record keeping of legal and regulatory-required documents
・Provide other assistance as may be required day-to-day in supporting the compliance and legal activities of Blackstone Japan
・Maintain a company chop
応募資格(必須経験など)
・3 - 7 years of relevant experience, preferably in compliance or a control function in the financial industry with basic knowledge of the FIEA and the rules of self-regulatory organizations
・Ideally held such roles as Paralegal, Compliance staff, Enterprise Risk management staff in global firms or corporations
・Native Japanese language with excellent written and spoken English language skills
・Excellent organizational and execution skills
・Independent self-starter and team player with strong work ethic and drive to quickly learn in a new environment