CCO

A foreign asset management company is looking for a Chief Compliance Officer. The chosen applicant will ensure regulatory compliance, manage risk controls, and oversee portfolio monitoring.

Responsibilities:

• Lead and enhance the Investment Compliance Program and ensure business operations align with the Business Operation Plan as Chief Risk Officer
• Develop, implement, and maintain compliance policies and procedures for Japan and U.S. regulatory requirements, providing guidance to personnel
• Organise Compliance and Risk Committee activities, including agenda coordination, meeting materials, and minutes preparation
• Oversee daily monitoring of portfolio compliance, automated compliance system administration, and controls for non-programmable guideline restrictions
• Monitor and address requirements from Japan FSA, Japan Investment Adviser Association, and other relevant regulations
• Provide training and guidance on internal governance, supervisory controls, and recent regulatory developments
• Ensure compliance issues, errors, and exceptions receive timely corrective action and participate in due diligence for external investment managers
• Collaborate with global compliance teams to maintain consistent standards and promote a culture of excellence and integrity

Requirements:

• More than 10 years of experience in Asset Management Investments Compliance (Fixed Income is a plus), particularly with Japan FSA matters
• Prior experience as a Compliance Officer or senior compliance professional
• Experience with a pre-trade compliance or portfolio management system (such as Bloomberg, Charles River, Blackrock Aladdin, etc.)
• Knowledge of portfolio management or investment operations workflows and processes
• Knowledge of the US and Japan Insurance Industry Regulations as they pertain to investment management
• Understanding of the US, Japan and state securities and derivatives regulations as they pertain to insurance industry investment activity
• Skilled in MS Office Suite
• Insurance industry experience is desirable
• Possess a valid MBA, CFA, and Compliance Certifications are preferred
• Proficient in written and verbal Japanese and English

About the Company:

A subsidiary of a leading global insurance company, this company was created to manage the investment portfolios of the parent company.

Keywords:

資産管理, 金融サービス, 保険, コンプライアンス, 投資, 外資系

Job Ref: ACV4PB