Director, Compliance Officer - Global Investment Firm

2024-12-02
Job Type
Permanent
Emp Type
Full Time
Industry
Finance
Skills
Any
Functional Expertise
Any
Salary Type
Annual
Salary
Negotiable
Job ID
35581

Job Description

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.

Consultant