上級コンプライアンス責任者/ Senior Compliance Officer

An international investment management organisation is looking for a Japan Senior Compliance Officer. The selected candidate will oversee regulatory compliance activities, provide advisory support to the business, and ensure adherence to Japanese laws and global compliance standards.

Responsibilities:

• Identify, interpret, and ensure compliance with Japanese legislation and regulations
• Communicate with Japanese regulatory authorities and self-regulatory bodies
• Review marketing and client communication materials for compliance approval
• Review and update Compliance Manual, policies, and procedures as required
• Provide compliance advice and support to the Japan business and client communications
• Conduct compliance training for Japan staff on a regular and ad-hoc basis
• Monitor portfolio compliance across all funds as part of the Global Compliance team
• Contribute to global compliance projects and initiatives
• File substantial shareholding reports to Japanese regulators for relevant holdings
• Collaborate with Legal, Risk, Internal Audit, Investment, Fund Operations, and Finance teams

Requirements:

• Bachelor’s degree or above
• More than 3 years of experience in Compliance, Legal, Risk Management, or Internal Audit within the financial industry
• Ability to work effectively with cross-functional and global teams
• Proficient in written and verbal Japanese and English

Preferred requirements:

• Bachelor’s degree or above in Law, Finance, or Accounting from a reputable university
• Experience in asset management

About the Company:

This organisation is a global investment management firm operating across multiple markets and offering a broad range of financial services. It is recognised for its strong governance standards and collaborative international working environment.

Keywords:

コンプライアンス, 法務, 規制対応, リスク管理, 内部監査, 資産運用, 金融規制, レポーティング, 日本金融庁対応, ガバナンス, 求人, 外資系

Job Ref: 8Z17NJ