Location: Japan (Tokyo area)

Role Overview

This position is responsible for overseeing the compliance function in Japan, ensuring that the business complies with all applicable regulations, agreements, and internal compliance standards. The role requires strong collaboration with both local and global teams, while maintaining a high level of independence in decision-making and ensuring the successful execution of business objectives.

Key Responsibilities

• Liaise with Japanese regulatory authorities, such as the Financial Services Agency (JFSA), to ensure compliance with statutory rules and regulations.
• Provide regular updates and reports to senior management and the Regional Head of Compliance on compliance matters, including identification of risks and regulatory issues.
• Advise business partners in Japan and, as necessary, Korea, on compliance issues related to business growth and transformations.
• Develop, implement, and maintain compliance monitoring programs to ensure regulatory and policy compliance across business operations.
• Timely escalation of potential material breaches or compliance issues to senior management.
• Provide analysis and insights into regulatory changes and their potential impact on the business.
• Serve as a member of the local risk management and corporate governance committees, providing compliance input.
• Oversee the preparation and submission of regulatory reports, including Substantial Shareholders Reports and Short Position Reports.
• Interface with regulatory bodies and manage responses to regulatory inquiries and examinations.
• Supervise and guide the compliance team in Japan, ensuring team members are adequately trained and resourced.
• Collaborate with global and regional compliance teams on special projects and continuous improvement initiatives, including technology, data, and analytics enhancements.
• Support the implementation of global enterprise risk management frameworks and reporting to relevant governance bodies.
• Coordinate with internal audit and compliance monitoring teams to conduct audits and reviews.

Key Qualifications and Competencies

• At least 15 years of experience in compliance, focusing on asset management or related industries.
• Deep knowledge of legal and regulatory requirements for the asset management industry in Japan, with familiarity with the Korean market considered a plus.
• Proven experience managing and supervising a professional team.
• Strong understanding of financial products, including alternative investments.
• Native-level Japanese proficiency and excellent written and spoken English.
• Excellent communication, interpersonal, and problem-solving skills.
• Ability to work independently and under pressure with minimal supervision.
• High integrity and strong work ethics.