コンプライアンスマネージャー/ Compliance Manager

A global financial services company is looking for a Compliance Manager (Governance and Monitoring). The selected candidate will lead the Branch Compliance Function, oversee compliance frameworks and monitoring activities, manage regulatory submissions, and support compliant business practices across the organisation.

Responsibilities:

• Lead the Branch Compliance Function to ensure ongoing compliance with legal and regulatory obligations
• Manage and coordinate day-to-day compliance activities in line with policy objectives
• Develop, manage, and maintain effective compliance frameworks with Japan Branch and wider Group colleagues
• Maintain oversight activities for Type 2 entities under Distribution Agreements to ensure compliant business practices
• Develop and deliver an effective compliance monitoring programme in coordination with third line assurance services
• Collaborate with business colleagues to improve customer outcomes through compliance analysis and process improvements
• Champion the Group’s core values in performance, behaviour, and continuous improvement
• Maintain oversight and delivery of regulatory submissions and public disclosure filings including Securities Registration Statements and Securities Reports
• Provide regulatory training to the Japan Branch
• Act as the main point of contact with Japanese regulatory authorities

Requirements:

• More than 5 years of experience in-house at an asset management business, securities company, or law firm with exposure to Funds Management and ideally Regulatory Affairs
• Experience in compliance management, governance arrangements, regulatory monitoring, and regulatory submissions
• Substantive knowledge of legal and regulatory frameworks including the Financial Instruments and Exchange Act
• Good understanding of risk management, internal control, and corporate governance principles and practices
• Working knowledge of fraud risk detection, investigation, and prevention
• Ability to apply research, investigation, project management, risk and control, data analysis, and problem-solving techniques
• Competency in MS Office Suite
• Professional level Japanese and English

Preferred requirements:

• Accounting skills and business law knowledge

About the Company:

A global financial services organisation providing investment and compliance-related services is seeking an experienced compliance professional. The company operates within highly regulated financial markets and promotes strong governance, ethical standards, and regulatory excellence.

Keywords:

コンプライアンス, ガバナンス, 金融規制, 内部統制, リスク管理, 法令遵守, 証券会社, 資産運用, 金融商品取引法, 規制対応, 求人, 外資系

Job Ref: M34903