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非公開

Job Purpose (Job Summary): Reporting directly to the Head of Compliance, Japan, the incumbent is responsible to assist the Head of Compliance, Japan to manage and oversee the compliance function in Japan to deliver professional and high quality compliance support and advice to the business; to support businesses compliance with all applicable regulations and internal compliance standards; to support compliance-related matters of the Japan office as assigned by the Head of Compliance, Japan; and to liaise with colleagues in Japan, the Asia Pacific region as well as other Group offices on compliance-related matters while maintaining a high level of independence. Key Responsibilities / Duties: • Provide compliance advice and support to the ongoing operations and future business development in Japan ensuring adherence to the latest rules, regulations, and regulatory expectations. • Liaise with regulators in Japan, such as the Financial Services Agency of Japan (JFSA), to ensure compliance with statutory rules and regulations and handle regulatory requests, inquiries, filings/reports, notifications, and onsite examinations. • Monitor regulatory changes applicable to the Japan business and provide timely advice. • Review sales and marketing materials, documents and external communication to ensure adherence to applicable statutory rules and regulations and industry best practice. • Maintain and update Compliance Manual and relevant compliance policies and procedures to ensure business operations and practice are consistent with the latest local regulatory requirements and Group policies. • Oversee licensing matters, compliance monitoring program and tasks delegated to the Group’s Compliance support teams. • Provide compliance advice/input on complaints, operational errors, incidents, breaches, and corresponding risk-mitigating actions to prevent re-occurrence. • Provide compliance advice/input on internal and external due diligence requests, and requests for proposal (RFP). • Review Regulatory Reports including Substantial Shareholders Reports. • Handle requests from internal and external audits. • Conduct regular risk assessments to identify potential compliance risks and develop strategies to mitigate them. • Design and deliver compliance training programs to ensure that all employees are aware of their compliance obligations. • Provide support to the Head of Compliance, Japan to maintain an effective compliance framework and promote a strong compliance culture. • Participate in local, regional and/or global compliance initiatives, projects and other ad-hoc compliance duties as assigned.

1500万円〜2000万円

米兼資産運用会社

 Visits branch offices throughout Japan to conduct study sessions and seminars.  Do cold calls to branch offices to grow/retain the AUM for our funds.  Develop strong relationships with branch managers and FAs.  Collaborates with RMs by sharing information in the branch and helping RMs obtain new mandates.

1200万円〜1500万円

非公開

Your Impact: The primary responsibilities are to foster/strengthen existing client relationships and develop new business for financial institutions. You translate client objectives and constraints into portfolio guidelines, monitors account activity for consistency with guidelines, educates clients about a broad set of products to promote cross sell. •Provide day to day client service to existing Financial Institutional clients •Introducing our capabilities including our Fixed Income, Jennison, PAA to company’s clients and prospect to search cross selling/new business opportunities •Closely co-work with colleague in other departments in Japan and oversea and coordinate smooth communication

2500万円〜3000万円

非公開

Key responsibilities: •Handling daily trade activities, cashflows, corporate actions, class actions, fail, OD claims, and various charges in a timely and accurate manner. •Booking the above activities, NAV calculation •Cash/position reconciliation •Communication with Trust Banks, Global Custodians, Brokers and offshore/onshore investment managers. •Projects to align with new regulations, improve operational workflows and add efficiency. •Analyzing issues and coming up with tactical and strategic solutions. •Responding to various inquiries from internal and/or external parties to provide answers / solutions. •Collaboration with other teams including Reporting, Investment, Sales, Product, Technology. •Communication and discussion with offices in US/London to resolve issues and enhance controls and/or quality.

1150万円〜1350万円

非公開

【担当業務】 主に個人投資家向けとなる運用戦略の販売会社及び国内投信委託会社への新規提案活動、既存ファンドの残高拡大・維持のための営業推進活動を通じて、当社の中長期での成長と運用資産残高の拡大に貢献して頂きます。 以下が担当業務です。 販売会社向け投信営業 国内投信委託会社向け投信営業

800万円〜1300万円

非公開

 Team Leadership: Supervise a team of 5 institutional reporting staff and 2 ITM reporting staff, ensuring effective team management and maintenance.  Process Oversight: Monitor and continuously review the report production process, including offshored and outsourced processes.  Project Involvement: Lead and participate in client reporting projects at local, regional, and global levels.  Issue Resolution: Address and resolve issues related to the team, staff, and reports, and report to the management team.  Capability Assessment: Regularly evaluate the team's capability and capacity to meet both strategic and business-as-usual needs.  Stakeholder Communication: Maintain effective communication with local stakeholders (Sales, Investment, Products, IT) and overseas client reporting and IT teams.  Strategic Planning: Develop strategies to establish a best-in-class reporting team and upgrade the reporting platform.

2000万円〜2500万円

非公開

1. Marketing material and documents reviews 2. Registration / reporting to the financial regulators and associations (JITA, JIAA, JSDA and Type II Association). 3. Review/create/update internal rules and policies. 4. Communicate with overseas colleagues (Legal & Compliance as well as other divisions such as business and investment team). 5. Review contracts (ITM fund trust deeds, IMAs, general contracts) 6. Review investment guidelines 7. Provide employees with compliance training and guidance on regulatory and policy requirements. 8. Handle asset management general compliance matters 9. Handle incidents and risk management related matters

1600万円〜2000万円

非公開

• Monitoring pre and post trade compliance with various regulations, guidelines and policies to detect breaches or potential breaches thereof, • Coding such regulations, guidelines and policies in monitoring tools (Aladdin), • Joining ad hoc firm-wide project relating to investment compliance, • Miscellaneous compliance reporting and monitoring.

1100万円〜1400万円

非公開

業務内容 ファンドの資金管理 - 日次残高モニタリング - キャピタルコール・配当償還（金額試算および実行事務を含む） - インボイスの管理および支払指図 - 他キャッシュフロー - 資金繰り表作成（現在課題事項） 投資実行事務 - スケジュール管理、資金手当て、事務管理会社や社内関連部署との連携 為替取引 - スケジュール管理、金額試算、発注事務 ファンド借入 - スケジュール管理、金額試算、借入指図 各種報告書の作成 - 投資家向け四半期報告書、ファンドボードミーティング報告資料、運用委員会資料、商品戦略委員会資料、投資家指定フォーマット報告書など データ管理 - ルックスルー、ポートフォリオ、投資家指定フォーマット等のデータの収集・整理 AIFM対応 - データ提供および各種Questionnaire・DDQ対応 監査対応 - 内部統制およびファンド監査への対応 アドミニストレーター対応 -主担当窓口として、各種事象の対応 外部ベンダー管理 - 各種外部サービスプロバイダーとの調整および契約管理 下位者・派遣社員の教育 - 業務サポートを行う下位者や派遣社員の指導・教育 その他ファンド設定・運営・管理に関する事務全般

800万円〜1200万円

非公開

Your Impact (Responsibilities): The primary responsibilities are to foster/strengthen existing client relationships and develop new business for retail investors through sub-advisory and wrap with domestic asset management companies. • Develop strong relationship with major distributors and asset managers in retail channel, and present strategies for potential launch of funds. • Develop and provide adequate services to clients to promote ongoing flows, which will include periodic study sessions or seminars at key branches of distributors. • Collaborate with marketing team to develop supplemental presentation materials suitable to Japanese retail market and compliant, both for pitch and ongoing promotion. • Collaborate with product, operations, and reporting team to on-board the client once the opportunities move to launch stage. • Maintain strong relationship with overseas counter-parties to gain good supports, and also keep up to the speed on market and investment both on equity and fixed income.

2500万円〜3000万円