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.