コンプライアンスオフィサーマネージャー/ Compliance Officer Manager

A global asset management company is looking for a Compliance Officer Manager. The selected candidate will ensure compliance with all applicable laws, regulations, and policies related to its operations and investment activities.

Responsibilities:

• Work with notification documents and regulatory filings
• Prepare internal policies and procedures per FIEA and membership association regulations
• Prepare FSA annual AML/CFT investigation reports and client due diligence checks
• Prepare annual membership association questionnaires
• Review and approve marketing and advertising materials
• Conduct compliance programs and report to management
• Conduct quarterly Risk Control Self-Assessment (RCSA) and report results
• Manage proceedings of the Business Risk Management Committee
• Maintain knowledge of relevant laws and provide guidance on changes
• Support compliance operations

Requirements:

• Bachelor’s degree or above in law
• More than 3 years of experience in asset management compliance
• Familiarity with FIEA, ITA, JIAA, and Type 2 Association regulations
• Strong business relationship management skills
• Proficient in verbal and written English

About the Company:

A leading asset management and investment company, serving a wide range of clients from large institutions to individual investors globally for decades.

Keywords:

資産運用, コンプライアンス, 規制遵守, アセットマネジメント, 法務, 求人, 外資系

2082770/001