アソシエイト/ Associate

A global investment management firm is looking for an Associate, Assistant Vice President, and Vice President in Regulatory Compliance. The selected candidate will oversee Japan’s regulatory compliance, provide guidance on internal policies, and support marketing and investment activities. This is a hybrid role.

Responsibilities:

• Oversee all aspects of Japan’s compliance program, including policy creation, training, filings, reporting, and regulatory liaison
• Monitor regulatory changes in Japan and other jurisdictions and assess business impact
• Guide internal teams on compliance manual, marketing practices, licensing, conflict management, record retention, inspections, and investigations
• Advise marketing teams on sales activities, materials, anti-money laundering, fund registration, notifications, and distribution compliance
• Support investment teams in operating within regulatory limits and pursuing new licensing for business expansion
• Collaborate with global departments and external advisers on compliance initiatives and projects

Requirements:

• Bachelor’s degree or above
• 5 - 10 years compliance or legal experience with an international asset management or investment banking firm in Japan
• Understanding of Japanese regulatory regimes, including marketing, licensing and regulatory reporting requirements of the KLFB, FSA and other regulators in Japan as well as industry associations like Type II FIFA
• Proficient in reading, written, and verbal English

Preferred requirements:

• Experience in extensive dealing with Japanese regulators and industry associations and handling Japanese regulatory inspections

About the Company:

An investment management firm specialising in alternative and credit strategies. The company is committed to delivering long-term value through disciplined risk management and deep market expertise.

Keywords:

コンプライアンス, 規制, 投資管理, ファンド登録, マーケティング遵守, 内部統制, 求人, 外資系

Job Ref: NIDTST