Work Location , Expected Annual Income :
Tokyo,14.0M ～ 20.0M
About the Company :
Global Investment Management
Responsibilities :
- Oversee departmental compliance with regulations and internal policies, providing Practical compliance guidance.
- Monitor front office investment activities for compliance, interpreting Japanese regulatory requirements and client/fund documentation.
- implement group compliance policies, advising relevant departments and addressing any challenges.
- Review Various internal and external compliance reports, including submissions to group compliance, the FSA, and industry bodies.
- support matters related to the Japan FSA, such as onsite inspections, licensing, and regulator inquiries.
- facilitate escalation of compliance issues, Assist with internal reviews, and help resolve control deficiencies.
- Supervise sales and marketing compliance, including Know-Your-client (KYC) and anti-money laundering (AML) processes.
Benefits :
In accordance with Japanese labour law
Required Experience / Abilities / Skills :
- Over 8 years of experience as a compliance officer within an asset management company.
- In-depth knowledge of local laws and regulations governing asset management, including the Financial Instruments and Exchange Act and rules from the Investment Management Association of Japan.
- Background in audit, law, or compliance; qualifications in accounting, finance, or legal fields are preferred.
- Excellent interpersonal and leadership skills, with strong personal judgment and the ability to manage complex stakeholder relationships.
- Proactive with a strong commitment to meeting deadlines.
- Native-level Japanese and business level English