Senior Compliance Officer - Asset Management

Senior Compliance Officer - Asset Management


A leading global asset management firm is looking for a Senior Compliance Officer for their Tokyo office. This role involves working closely with regulators, business leaders, and global teams. You will play a key role in reviewing market materials and Japanese equity investments. This position offers direct interaction with senior stakeholders and the chance to work in a cross-functional team with investment managers.

Key Responsibilities:

• - Provide compliance support for operations and business development in Japan, ensuring regulatory standards are met.
• - Work with Japanese regulators, like the Financial Services Agency, to manage compliance requirements and handle inquiries and examinations.
• - Keep up with regulatory changes in the Japanese market and advise the business accordingly.
• - Oversee the review of sales and marketing materials to ensure they comply with industry regulations.
• - Maintain and update compliance manuals and procedures according to local and group standards.
• - Manage licensing matters and oversee the compliance monitoring program, working with global compliance teams.
• - Conduct risk assessments and provide insights on compliance incidents to reduce future risks.
• - Develop and implement compliance training programs to ensure employees understand their compliance responsibilities.
• - Participate in regional and global compliance projects and handle other duties as needed.

Qualifications and Experience:

• - At least 8 years in financial services, focusing on compliance or regulatory roles within asset management or regulatory bodies in Japan.
• - Strong knowledge of legal and regulatory frameworks for asset management in Japan.
• - Bilingual in English and Japanese.
• - Proven leadership skills and a dedication to promoting a compliance-focused culture.
• - Degree in Accounting, Finance, Law, or a related field.

If this position is not ideal for you, but you are looking for a new opportunity,please contact us to discuss your options.