The Compliance Officer role offers the opportunity to play a key part in supporting regulatory compliance within a global asset management environment. This position is ideal for a compliance professional who enjoys working closely with regulators, business stakeholders, and international teams to ensure adherence to regulatory requirements while supporting business growth.
Responsibilities
Act as a key point of contact with Japanese financial regulators and manage regulatory communications
Oversee regulatory licences, filings, record keeping, and regulatory inspections
Develop and maintain compliance policies and procedures for the Japan business
Monitor regulatory changes and implement required business and compliance updates
Provide compliance advice and guidance to employees and business stakeholders
Deliver regulatory and compliance training to staff
Review and approve marketing materials to ensure regulatory compliance
Work with regional and global teams to support compliance monitoring, testing, and interpretation of regulatory requirements
Requirements
5+ years of experience within the asset management industry in Japan
Relevant compliance experience, preferably including marketing material review
Proven knowledge of Japanese financial regulations and compliance requirements, including the Financial Instruments and Exchange Act and the Investment Trust Act
Strong project management and organisational skills
Ability to work independently, collaborate across teams, and manage multiple priorities
Strong analytical, problem-solving, and risk assessment skills with high attention to detail
Native-level Japanese and business-level English communication skills
Benefits
Social insurance coverage, including health insurance, pension, employment insurance, and workers’ compensation insurance
Commuting allowance
Paid annual leave
About the Company
A company in the asset management industry, this organisation operates globally and provides a broad range of investment strategies and services across multiple asset classes. With a strong focus on active investment management, long-term investing, collaboration, and responsible investment principles, the firm serves clients in domestic and international markets.