Compliance Manager/外資系大手運用会社の求人

●Position Summary:
Compliance Manager will play a role in supporting the local business and ensuring robust
regulatory adherence. Reporting directly to the Head of Compliance, Japan, the successful
candidate will be responsible for managing day-to-day compliance matters, interacting closely with
local business teams, and collaborating with compliance counterparts across the global
Investment Managers’ network.

●Accountabilities:
Assisting the Head of Compliance, Japan by conducting below.
Review marketing materials, documents and external communication to ensure compliance
with applicable laws and regulations.
Review and approve requests for gifts, hospitalities, and personal account dealing by
providing expert advice on associated procedures.
Conduct internal testing as the Second Line of Defense.
Handle privacy matters with Compliance Officer
Support AML/KYC matters as the Second Line of Defense.
Liaise with regulators (FSA) as well as self-regulatory bodies in Japan, ensuring adherence
to all applicable laws and regulations, including management of regulatory inquiries, filings,
reporting, and examinations.
Recommend and draft new guidelines and procedures.
Distribute and provide advice on regulatory updates.
Provide trainings to staff.
Respond proactively to requests for assistance from the business, research issues, provide
advice and guidance by cooperating with Compliance Officer.
Act as a Compliance member within the Global Compliance team and participate in
compliance and other initiatives and work with relevant teams, where required.

●Requirements:
The successful candidate should have some of the following qualifications and experience.
University degree or above;
A minimum of 8 years working in a compliance role with asset management firms;
Extensive knowledge of Japanese asset management regulations is an essential
component of the role; while some knowledge of one or more major asset management
regulatory jurisdictions (USA, UK, EU) would be an advantage;
Good relationship with JFSA, other compliance professionals and advisers would be an
advantage;
Exposure to a wide range of clients and good understanding of the key asset classes,
investment strategies and delivery vehicles (local trust funds and separate accounts);
Japanese is the working language in the Tokyo office, but good command of English is
necessary due to the global set up.

外資系運用会社