Compliance Manager

勤務地 東京都
業界・業種 金融
契約タイプ Permanent
給料 経験に基づき交渉可
参照番号 39612


A global asset manage



  • Establish and implement the local Compliance Plan aligned with Group Compliance Plan including ensuring a robust monitoring program is in place to meet Japan regulatory and business conduct requirements to   supplement global compliance monitoring and testing  

  • Stay up to date with regulatory developments in Japan and ensure implementation of regulatory changes by the  business including to maintain Japan policies and procedures to reflect regulatory updates in Japan to applicable Group policies 

  • Handle regulatory filings to applicable authorities including the FSA, KFB, JIAA, T2FIFA and Tokyo Metropolitan  Government 

  • Provide  sound  and  risk‐based  regulatory  and  compliance  advice  and  support  on  DIM/IAAB/Type  II  business  requirements including the promotion of services and products to Japanese investors 

  • Ensure  there  are  robust  processes  in  place  for  required  sign‐off  with  respect  to  marketing  materials  and  provide/update a guidance to the marketing material review team where appropriate 

  • Provide  sound  and  risk‐based  regulatory  and  compliance  advice  to  the  Real  Estate  acquisition  and  asset  management teams  

  • Arrange and deliver compliance training as required  

  • Support for the AML officer on Japan AML law along with Group Financial Crime Policy 

  • Manage audits by regulators, internal or external audits and ensure corrective actions are implemented 

  • Participate in regional and global compliance initiatives and projects  

  • Support Corporate Secretary to ensure that requirements of the Corporation Act of Japan are met 

  • Any other related matters assigned by Japan Compliance officer 



  • Desirable  Qualifications: 

  • University degree (or equivalent qualification)  

  • Relevant Compliance qualification (e.g. Internal Control Manager, Certified Anti‐Money Laundering Specialist)  

  • Demonstrates a professional knowledge of the key Japanese legal and regulatory frameworks including financial crime (AML, CTF, Fraud, Sanctions,  ABC and tax evasion)  

  • 3 to 8 years Compliance or Legal relevant experiences in asset management  industry 

  • Regulatory and compliance / legal knowledge of regulatory environment for  funds and investment services   

  • Ability to conceptualize complex issues