The Investments division of a U.S.－based Fortune 500 company seeks a Senior Compliance Manager for its operations in Tokyo. We are the market leader in the provision of investment solutions to institutions, offering investment consulting and asset management services in Japan and throughout the world. You should be self－motivated, detail－oriented and be a clear communicator in Japanese and English, with the ability to work closely not just with the Japan team but also with our global team of legal and compliance experts, who will also support you. This role will report directly to the Asia Legal Counsel.
Oversee and monitor the implementation of compliance, governance and risk management controls in the Tokyo office, which consists of two licensed entities.
Advise all departments, especially the Tokyo consulting professionals, in relation to asset management and advisory regulations from a Japanese perspective.
Be the primary point of contact with the Japan FSA and KLFB, other government authorities and external legal counsel.
Institute best practices by continuously testing the Japanese compliance program and developing it to meet new financial regulations.
Supervise compliance testing and monitoring in accordance with global and local standards.
Review customer contracts, engagement letters and statements of work for adherence to law and regulation as well as to internal requirements.
Support the organization and offering of new financial products （primarily funds） and services.
Liaise with the firm’s international legal and compliance team and assist in implementing global initiatives.
Preparation, submission and maintenance of regulatory filings.
【必須（MUST）】High degree of autonomy and ability to work in a regional matrix structure and be involved in global matters.
Japanese law degree a plus.
7＋ years’ experience in the Compliance and/or Legal departments of a significant financial institution that is FSA/KLFB－regulated with demonstrated ability to manage the relationship with the regulator.
Strong knowledge of applicable Japanese financial regulations.
Proven record of being a team player with the ability to work independently and to liaise effectively with client－facing professionals and management.
Strong business acumen and client service mentality is a must！
Ability to build and maintain relationships across various lines of business and with external stakeholders.