【ドイツ証券株式会社】AFC & Compliance Officer
仕事内容
Today, markets face a whole new set of pressures – but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change.
Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment.
We’re looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That’s why we are ‘Investors for a new now’.
As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients’ financial future. And in return, we’ll give you the support and platform to develop new skills, make an impact and work alongside some of the industry’s greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career.
This is your chance to invest in your future.
Read more about DWS and who we are here.
Team / division overview
DWS Japan AFC & Compliance is responsible for supporting businesses in DWS Japan with FSA full licenses 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 a local organization and to head of APAC AFC & Compliance in a global organization.
There are 2 AFC & Compliance functions with 4 team staff under the head of DWS Japan AFC & Compliance. One is the Central AFC & Compliance function, and another is the Business Advisory functions and both functions are led by the senior staff.
DWS Japan Compliance will hire a replacement position who has the key responsibility for regulatory reporting, regulatory updates, policy governance, compliance risk assessment, Compliance training and other compliance activities, etc. in Central AFC & Compliance function. and to support any global project where required.
Your responsibilities
As our AFC & Compliance Officer, you will:
You will be in charge of overall activities in Central Compliance function.
You will be responsible for regulatory reporting to multiple regulators working with the team leader of Central Compliance function to ensure those tasks are managed accurately and timely.
You are required to monitor regulatory updates in multiple regulators’ website (i.e. FIEA, FSA., ITA, JIAA, JSDA and Tokyo Metropolitan office) and notify relevant departments timely.
You are required to revise local and global policies and related admi roles to maintain policies timely and accurately working with Global Policy Governance team.
You will take part in the global projects.
You are required to support all other Compliance activities.
You will need to support to perform MaComp (Compliance Risk Assessment).
Provide support to close internal audit actions.
You will engage Compliance training.
You will take admi roles and supports for Compliance in terms of Management Information and committee reporting.
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.
Overall at least 7 years of working experience in Japan financial industry.
Regulatory reporting experiences in Compliance or Core Compliance experience is preferable.
Experiences in either Asset Management Operations, Internal Audit, Risk, Legal, Corporate Secretary or Compliance is preferable.
Japan market and regulatory knowledge is essential.
Knowledge in Asset Management business is preferable.
Native Japanese and Business level English (both writing and verbal)
Microsoft Word/Excel/PowerPoint skill is essential.