【JPモルガン証券株式会社】Associate Core Compliance Officer
仕事内容
Key Responsibilities:
Licensing and Registrations – Financial activities may require employees to be licensed or registered. This position provides advisory services on local regulatory requirement on regulated and licensed activities, handles registration matters such as facilitating the obtaining of required licenses, monitors the compliance licensing and registration requirement, maintaining records of licensed employees and providing data to employees and their managers.
Personal Account Dealing (PAD) – Responsible for providing advice/consultancy on employee trading activity and to provide guidance on PAD policy requirement as well as local regulatory requirements. This position provides the opportunity to communicate closely with regional colleagues and to help prevent violations of securities laws and industry conduct standards and to minimize actual or perceived conflicts of interest that could arise due to personal investing activities.
Strategic analysis (i.e., Metrics, KPIs / KRIs) – Prepare and assist in creating various metrics, MIS, KPIs/KRIs for regular reporting (e.g., monthly Employee Compliance report, quarterly Compliance scorecards) and ad-hoc requests, including the collection and consolidation of data.
Business Management support – Assist or drive the regional / location initiatives or inquiries related to Japan Compliance by managing/supporting the project and collecting data through interactions with the relevant stakeholders. This includes periodic review on the certain items (e.g., Regulatory incident quality assurance, third-party web-site review)
Compliance Program – Responsible for the development of the annual Compliance Program including the training, monitoring activities, testing plans for the year reflecting the business and regulatory changes, as well as the results of the Compliance risk assessment (i.e., Independent Second-line Risk Assessment) process.
Operational Risk Management – Any tasks related to providing oversight of the operational risk governance and control framework for the location, engaging with the relevant onshore and offshore key control functions including interactions with the 1st line of defense Control Management and regional ORM counterparts.
応募資格(必須経験など)
Skill Sets & Profile:
・2+ years in Financial Services
・Relevant experience in Compliance, risk management or regulatory related functions
・Knowledge of applicable regulatory principles and rules
・Ability to work independently as well as part of a team
・Analytical skills and attention to detail
・Strong Japanese and English written and verbal communication skills