【ドイツ証券株式会社】DWS Japan Country Head of AFC & Compliance
仕事内容
Team / division overview
DWS Japan AFC & Compliance is responsible for businesses in DWS Japan with FSA full licenses are in conducting on Japan FIEA and relevant Japanese laws and regulations as well as DWS group policies.
DWS Japan AFC & Compliance is reporting to CEO in local organization and to head of APAC Compliance in global organization. There are 4 team members in DWS Japan Compliance, and each Compliance member is reporting to head of DWS Japan Compliance.
Key roles of DWS Japan AFC & Compliance are the Advisory for the businesses (Liquidate Investment Managements, Alternative Investments, Retail & Institutional client departments, Product and planning departments) and relevant internal control departments as well as Compliance monitoring as a quality assurance function as 2nd line of defense.
According to a resignation of head of Japan AFC & Compliance in March 2024, Compliance will hire a replacement of this position.
Your responsibilities –
As our Head of AFC & Compliance, you will:
You are required to manage DWS Japan AFC & Compliance team as a Country AFC & Compliance head.
You are FSA registered Compliance Officer who is responsible for a promotion of the establishment of a proactive Compliance culture and ethical standards thorough Compliance activities.
FSA registered Compliance officer is responsible for multiple local Officer roles on local regulations, such as Personal information protection, Non-public information protection, Anti-Money Laundering, Customer Compliant handling, Conflict of Interest management.
You support employees and officers in conducting business activities based on high ethical standard and local & group policies.
You develop a Compliance program and establish a control system to identify the issues through a daily monitoring program for major risk items.
You are required to take appropriate actions and escalations when legal violations are suspected, or risks may affect to company’s reputation.
You maintain a good relationship with regulators.
You are responsible for new regulations appropriately enhanced in the local policies.
You manage the conflict of interests and approve the concurrent positions of employees and officers.
You are responsible for Customer complaints and give a right instruction to employees and officers.
You oversight overall error handling and its remedies occurs in businesses.
You maintain good relationship with group Compliance located overseas.
You are responsible for global projects as a head of Japan AFC & Compliance.
You participate local committees, such as Risk Management committee/New Product Committee/Executive Committee/Board as a representative of DWS Japan AFC & Compliance.
You are required a people management of the team staff giving a right coaching and advice.
応募資格(必須経験など)
We are looking for
University or College Graduate. A Certificate such as JSDA Internal Administrator, CFA, CPA is preferable.
Minimum 10 years of working experience in Compliance of Foreign based Japan Asset Management Company.
Experiences in head of Asset Management Compliance is preferable.
Japan market and regulatory knowledge is essential.
Knowledge in Asset Management business and fiduciary mind set is essential.
Native Japanese and Business level English (both writing and verbal)
Microsoft Word/Excel/PowerPoint skill is essential.