The Compliance Officer role offers the opportunity to play a key part in supporting regulatory compliance across private equity funds and public investment products. This position is ideal for a compliance professional who enjoys working closely with investment teams, monitoring regulatory developments, and helping to build robust compliance frameworks within the investment management industry.
Responsibilities
Manage compliance activities for private equity funds and public investment products, ensuring adherence to applicable regulations and internal policies.
Monitor regulatory developments and update compliance procedures to address legal and regulatory changes.
Oversee AML/CFT controls, conflict of interest management, and corporate relationship information processes.
Assess compliance risks related to investment opportunities and provide practical guidance to investment teams on appropriate mitigation measures.
Review marketing materials, advertising content, and client communications to ensure regulatory compliance and accurate disclosures.
Coordinate with regulators and support regulatory reporting, examinations, and enquiries.
Develop compliance policies, procedures, and operational rules for new business activities, products, and investment initiatives.
Requirements
Experience in compliance, legal, risk, or regulatory functions within a financial institution.
Experience in asset management, private equity, investment funds, securities, banking, or a related financial services industry.
Knowledge of financial regulations and compliance requirements.
Strong communication and stakeholder management skills.
Good analytical, problem-solving, and organisational skills with strong attention to detail.
Knowledge of the Financial Instruments and Exchange Act (FIEA) is preferred.
Experience developing policies, procedures, internal controls, or compliance frameworks is advantageous.
Ability to work effectively with business teams and provide practical compliance guidance.
Native-level Japanese and intermediate English language skills.
Benefits
Health insurance
Employee pension insurance
Employment insurance
Workers’ compensation insurance
Childcare support services
Elderly care support services
Leisure support services
E-learning programmes
Health support services
About the Company
A company in the investment management industry. The organisation is engaged in investment management, investment advisory and agency services, as well as Type II Financial Instruments Business, supporting a range of investment activities and financial products.