Compliance Director

- Oversee departmental compliance with regulations and internal policies, providing practical compliance guidance.
- Monitor front office investment activities for compliance, interpreting Japanese regulatory requirements and client/fund documentation.
Implement group compliance policies, advising relevant departments and addressing any challenges.
- Review various internal and external compliance reports, including submissions to Group Compliance, the FSA, and industry bodies.
- Support matters related to the Japan FSA, such as onsite inspections, licensing, and regulator inquiries.
- Facilitate escalation of compliance issues, assist with internal reviews, and help resolve control deficiencies.
- Supervise sales and marketing compliance, including Know-Your-Client (KYC) and anti-money laundering (AML) processes.

Employee Benefits:
In accordance with Japanese labour law

- Over 8 years of experience as a compliance officer within an asset management company.
- In-depth knowledge of local laws and regulations governing asset management, including the Financial Instruments and Exchange Act and rules from the Investment Management Association of Japan.
- Background in audit, law, or compliance; qualifications in accounting, finance, or legal fields are preferred.
- Excellent interpersonal and leadership skills, with strong personal judgment and the ability to manage complex stakeholder relationships.
- Proactive with a strong commitment to meeting deadlines.
- Native-level Japanese and business level English