【PGIMジャパン】Compliance Manager, Asset Management (for bilingual)
仕事内容
Responsibilities
• Work with Vice President, Compliance and other Compliance colleagues in implementing the compliance program and ensuring employees comply with applicable regulations and policies;
• Manage relationships with regulators, preparing filings to regulators and authorities, and addressing broader issues such as implementing procedural changes as a result of new or revised regulations;
• Conduct compliance training for employees;
• Respond to ad hoc inquiries from and provide compliance advisory to the business team;
• Partner with the Law Department on a regular basis to analyze changes to regulatory requirements and proactively manage regulatory developments and changes;
• Develop new or update policies and procedures to ensure ongoing compliance with regulatory requirements;
• Respond to regulatory examinations, internal and external audits;
• Act as the Corporate Secretary for the Board of Directors meetings and preparing compliance metrics and compliance reports to the Board. Responsibilities also include general corporate matters, shareholder’s meetings, Compliance Committee meetings and others;
• Review marketing materials mainly in Japanese and in English (eg. Pitchbooks, reports, articles, press releases);
• Perform KYC/AML/sanction screening on clients and private alternatives deals in Japan; and
• Act as the Privacy Officer for the company.
応募資格(必須経験など)
Required Skills and Qualifications
• Bachelor’s degree in finance, accounting, economics, law or related discipline.
• At least 5-7 years of compliance experience, primarily in an investment management organization, regulator, audit and/or comparable environment.
• Knowledge of laws and regulations applicable to the private alternatives business in Japan and general understanding of the FSA regulatory requirements.
• Exposure to the real estate investment and private equity asset classes would be helpful
• Native Japanese speaker with working proficiency in English.