Legal Specialist

Cboe (Tokyo, 日本) フォロー 9時間前

Contract Financial Institutions Cooperation Surveillance Informative Legal Interpretation

今すぐ適用する

Job Description

General Description:

Under the supervision of the Head of Legal & Compliance (‘L&C’), the newly recruited candidate (‘they’) will be responsible for the overall L&C work under the direction of the Head of Legal & Compliance and the Assistant General Counsel (‘AGC’).

As described below, the work is basically carried out in cooperation with the AGC on the tasks currently handled by the AGC, and they are able to carry out the tasks by themselves, reporting to and communicating with the AGC, starting with those tasks in which they are sufficiently proficient.

After six months, they should be able to carry out most of the tasks carried out by the AGC, while cooperating with the AGC on some of the tasks.

Responsibilities:

1. To understand the instructions of superiors in carrying out the following tasks and carry out the tasks in cooperation with or in support of their superiors:

They will liaise with external lawyers as necessary to construct appropriate and informative explanations regarding the legal interpretation of the Financial Instruments and Exchange Act and related laws and regulations.
They will consult with the legal teams of overseas affiliates on the application of Cboe Global Markets' internal rules to Japan and Japan's participation in CGM's global contractual relationships.
They will respond to requests from the CGM compliance team and others for participation in the global control system.

2. To understand the explanations of superiors and take the initiative in carrying out the following tasks, while reporting to and communicating with superiors:

They shall collect information from the Financial Services Agency (‘FSA’), the Japan Securities Dealers Association and other regulatory authorities, etc., and shall work actively with the relevant internal departments to check and maintain internal rules in line with the relevant laws and regulations relating to the business.
They prepare materials regularly requested by the FSA (e.g. materials for anti-money laundering hearings).
They respond to regular requests for documentation from the CGM legal team.
They act as the L&C contact for investor relations and systems-related enquiries and meetings in conjunction with Cboe Australia, Cboe Australia Services and other associated companies.

3. To understand and be prepared to carry out the following tasks as required:

They understand the contents of the trading review process and are familiar with the surveillance system (Validas).
They understand the content of each of the in-house training courses and shall prepare and carry them out themselves.

Qualifications:

(i) Bachelor of Law, legal qualification not required, but experience of studying for a legal qualification is desirable.

(ii) Japanese as a first language and a degree of fluency in English is desirable.

(iii) Experience working at a financial institution is desirable but not essential.

(iv) A minimum of 5 years of experience in a legal or compliance department is required regardless of industry.

Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.