Reports to: Head of Legal and Compliance
Location: Tokyo, Japan

Job Position Summary:

Background
The responsibility for regulatory compliance, particularly in managing risks, ensuring operational transparency, and maintaining public trust, is critical. [Company Name] Japan (the company) is no exception and must comply with updated laws and regulations in a timely manner. Regulatory authorities require the company to have a certain number of compliance officers to adequately address these requirements.

Position Overview
We are seeking an experienced Compliance Officer to join our team. The successful candidate will be responsible for ensuring compliance with all applicable laws, regulations, and policies related to the company's operations and investment activities.

Key Responsibilities:

• Work with notification documents, regulatory filings, and relevant bylaws.
• Support the preparation of internal policies and procedures in compliance with financial regulations and membership association guidelines.
• Prepare the annual Anti-Money Laundering/Countering the Financing of Terrorism (AML/CFT) investigation report for submission to the Financial Services Agency (FSA) and conduct client due diligence by obtaining all necessary KYC documents.
• Prepare and submit annual questionnaires for membership associations.
• Review and approve marketing and advertising materials to ensure compliance with relevant regulations.
• Conduct compliance programs (e.g., Personal Trades, Suspicious Transactions Check, Distributor Due Diligence, Client KYC) and provide regular reports to management.
• Conduct quarterly Risk Control Self-Assessments (RCSA) and prepare reports on findings.
• Manage the proceedings of the Business Risk Management Committee, organized by the Legal and Compliance Department.
• Stay up to date with relevant laws and regulations, advising the company’s management and staff on any changes or developments.
• Support the team to ensure smooth operation of compliance activities.

Qualifications:

• Bachelor’s degree in law.
• Minimum of 3 years of experience in asset management compliance.
• Familiarity with financial regulations (e.g., FIEA, ITA, JIAA, and Type 2 Association).
• Strong analytical and problem-solving skills.
• High attention to detail and ability to multitask effectively.
• Self-motivated with a willingness to learn and adapt to new regulations and tasks.
• Strong business relationship management skills.
• Good command of both written and spoken English (preferred).

Working Hours:

• 9:00 AM - 5:30 PM (7 hours 30 minutes per day).
• Staggered work hours and hybrid work options are available.

Holidays & Leaves:

• 2 days off per week (Saturday, Sunday, and national holidays), year-end and New Year vacations, 20 days of annual paid leave, 6 days of sick leave.

Social Insurance:

• Health insurance, employee pension, unemployment insurance, and worker’s compensation insurance.