Location
Tokyo, Japan
Job Description
The Compliance Officer will oversee compliance operations related to financial instruments business in Japan. The key responsibilities include:
- Managing and supervising compliance programs and regulatory obligations.
- Advising on regulatory developments and assessing their impact on the business.
- Conducting compliance testing and reviewing internal controls and policies.
- Preparing and maintaining regulatory reports, filings, and certifications.
- Collaborating with global teams on fund filings and annual reporting.
- Updating and maintaining compliance manuals, policies, and risk management procedures.
- Supporting audit processes and liaising with internal and external stakeholders on compliance matters.
Requirements
Education:
- Bachelor’s degree in Law, Finance, or a related discipline from a recognized institution.
Professional Experience:
- Minimum 12 years of experience in the financial services industry in Japan or relevant coverage in a law firm.
- Experience in compliance or regulatory roles at asset management firms, private equity funds, law firms, or investment banks is preferred.
- Strong knowledge of Japanese securities laws related to investment products is advantageous.
Language Skills:
- Native-level proficiency in Japanese (written and spoken).
- Business-level proficiency in English.
Competencies:
- Excellent communication, organizational, and analytical skills.
- Proactive, detail-oriented, and capable of managing multiple tasks effectively.
- Strong interpersonal skills with the ability to influence and work both independently and as part of a team.
