Work in Japan : Senior Compliance Officer (Asset Management)

Minimum Experience Level

Over 3 years 

Minimum English Level

Business Level 

Minimum Japanese Level

Native 

Minimum Education Level

Bachelor's Degree 

Visa Status

Japanese national or permission to work in Japan required  

Compliance Risk

- Set policies and standards to cover compliance issues and risks
Train and educate staff to foster strong compliance culture within the company
- Support line management in discharging their responsibilities to comply with applicable Regulations (e.g. by reviewing new products / services for any possible compliance implications, advising on systems enhancement initiating changes to relevant manuals to reflect regulatory changes or requirements, monitoring the businesses for adherence to the Regulations, assisting the Board of Directors by functioning as Corporate Secretary, chairing Local Compliance Committee for management decisions and necessary reporting, and providing input to audit both external and internal)
- Assist line management when conducting of crisis management
- Foster good relationships with regulator
- Advise line management of the impact on the business of applicable regulations including any regulatory changes
- Assist management to establish a strong corporate governance structure and culture
- Protect and enhance the already established good reputation of the company and safeguard the company from any possible damage to this reputation

Operational Risk

- Continually re-assess the operational inherent risk in the business, taking account of changing economic or market conditions
- Legal and regulatory requirements, operating procedures and practices, management re-structuring and the impact of new technology

- 5 or more years of experience in a Asset Management Company
- 3 or more years of Compliance experience in a Asset Management Company
- Certificate of JSDA Internal Administrator
- PC Skills (Word, Excel, Lotus Notes)
- Native level Japanese with strong communication skills in English (Strong conversation ability and listening comprehension)
- Work experience in a financial institution - other than Asset Management firms
- Work experience in a financial institution - other than in Compliance
- Knowledge of law (law degree or graduated university - majored in law)
- Knowledge of bookkeeping, accounting and finance

Legal Futures was founded in 1999 and is a dedicated legal, compliance and financial services boutique consultancy that operates from offices in Tokyo, Hong Kong and Singapore. Our recruitment business is categorised as specialist/professional. From Hong Kong we also service our clients in the PRC and Korea, whilst Thailand, Malaysia and Indonesia are serviced from Singapore. This enables us to deliver a total recruitment solution to regional team building in our clients’ key locations. We offer in-depth coverage from each office with a premium personalised consultancy service acting for international law firms, leading American and European investment banks and other employers of choice across all sectors of industry and commerce. For candidates, there is no charge for the services that we provide.

We operate three separate and highly specialised divisions:

Our Private Practice Division services the full spectrum of law firms sourcing qualified lawyers (both local and overseas admitted) at all levels from associates through to partners, also practice support lawyers, paralegals and business services positions.

Our Corporate Division services both domestic and international companies sourcing qualified lawyers (both local and overseas admitted) at all levels from Legal Counsels through to Regional General Counsels, corporate compliance officers, company secretaries and commercial/contract managers.

Our Banking & Finance Division services the full financial services industry from bulge bracket investment banks to retail banks and fund managers and is responsible for the recruitment of financial services executives, lawyers (both local and overseas admitted) at all levels from Legal Counsels through to Regional General Counsels, compliance officers at all levels from junior compliance officers up to Regional Heads of Compliance, also documentation officers, paralegals and mid-office personnel positions.

Our recruitment business is categorized as specialist/professional and our placements are limited to Japan only. Our service is free of charge. We will apply and follow the laws and principles of all relevant legislation and maintain data privacy at all times. Please refer to www.legalfutures.com to view our Privacy Policy. The person handling personal information is our license holder Matt Anderson who will also handle any complaints.