Overview

Your role

  • This role will form part of a small team responsible for the overall compliance with local regulatory requirements, and provide a comprehensive advisory, monitoring and control service to Asset Management business in Japan. He/she will also work closely with various compliance functions in group companies. He/she will reports to Local Head of Compliance & Operational Risk Control Department of the Japan Entity.

Primary Responsibilities/Function are:

  •  Coordinate the periodic review and update of internal policies and procedures
  • Review marketing materials
  • Monitor changes in regulations and group policies, and coordinate the gap analysis and implementation
  • Perform regulatory monitoring and reporting
  • Work closely with regional team and other functions within compliance and operational risk control area
  • Coordinate various local and regional regulatory projects
  • Coordinate training and ensure proper record keeping of regulatory reports and submissions

Requirements are ;

  • Fluent Japanese and English
  • Standard PC skills ( e.g. Expert skill for Excel, Word, PPT, MS Access etc. is preferable but not mandatory)
  • At least 5 years of working experience in financial industry preferably in asset management
  • Compliance, risk control/management or legal background is preferred
  • Proactive, teamwork-oriented, and challenging character
  • University degree in Law or Economics is preferred

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