Entity
Amundi, the leading European asset manager, ranking among the top 10 global players [1], offers its 100 million clients - retail, institutional and corporate - a complete range of savings and investment solutions in active and passive management, in traditional or real assets.
With its six international investment hubs [2], financial and extra-financial research capabilities and long-standing commitment to responsible investment, Amundi is a key player in the asset management landscape.
Amundi clients benefit from the expertise and advice of 5,300 employees in 35 countries. A subsidiary of the Crédit Agricole group and listed on the stock exchange, Amundi currently manages more than €2.0 trillion of assets [3].
Amundi, a trusted partner, working every day in the interest of its clients and society
[1] Source: IPE “Top 500 Asset Managers” published in June 2022, based on assets under management as at 31/12/2021
[2] Boston, Dublin, London, Milan, Paris and Tokyo
[3] Amundi data including Lyxor as at 31/03/2022
By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities.
Reference
2024-90457
Publication date
13/06/2024
Responsibilities:
1. Sales & Marketing Compliance
(focusing on whichever of Institutional, Retail, ETF/Index or Alternative Business)
Review outgoing documents including sales materials, strategy presentation, RFP, fund trust deed, Prospectus, notification letter to investors, etc. to eliminate compliance problems and other inappropriate descriptions in accordance with local industry practices as well as applicable laws, rules, regulations and internal policies.
Provide necessary instructions and guidance to the staff of the Company for the compliance matters.
Keep updated on local sales, marketing & distribution regime, work with Paris Client Protection and Distribution teams when necessary to update and implement enhanced sales & marketing compliance framework, etc.
Any other related matters instructed from the manager.
2. Investment Compliance
Review and monitor daily trading data for block trade, cross trade, short term trading, close price guarantee transaction, market impact and other market abuse as appropriate. Whenever necessary, working with Paris Market Integrity team.
Deal with queries from fund managers and traders, handle request for approval for specific transactions.
Collaborate with fund managers, traders and teams in Paris to evolve existing IT applications and enhance the effectiveness and efficiency of daily monitoring.
Provide necessary instructions and guidance to the investment staff of the Company for the compliance matters (excluding investment guideline related matters which are handled by other department).
Any other related matters instructed from the manager.
3. Financial Security
As a back-up, deal with compliance alerts on AML/PEP generated by Actimize, Fircosoft and other systems. Deal with AML/CFT/KYC/DD requests from business partners such as brokers, trust banks, custodians as well as other asset managers.
Any other related matters instructed from the manager.
4. Corporate Compliance
Prepare and file reports, questionnaires and other documents and data requested by the regulatory authorities as well as the industry associations (FSA, KLFB, JITA, JIAA, JSDA, T2FIFA)
Monitor employees’ personal trading, gift and entertainment records, outside business activities and other Code related matters.
Prepare the report on local compliance activities to periodical local compliance committee and Amundi Group Compliance Business Line.
Keep updated on new laws, rules and regulations as well as implementing global policies, and establishing and maintaining local policies and procedures.
Provide basic compliance training for new joiners.
Any other related matters instructed from the manager.
Candidate should hold a Japan working Visa or have no restrictions on working in Japan
10+ years’ experience in the internal control field (compliance, legal, risk management and audit) preferable
Proficiency in English and Japanese required
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