Assistant Vice President / Associate Officer (Legal & Compliance)

Location Tokyo
Discipline Legal & Compliance
Job type Permanent
Salary Negotiable based on Experience
Reference 36151

Major Responsibilities (of the hiring departments):

1. Review ITM fund related documents (Prospectus, SRS, ITM trust deed,

marketing material, distribution agreement etc.)

2. Marketing material reviews (mainly in Retail market, mostly in Japanese)

3. Documentation for offshore funds publicly offered in Japan (SRS, Prospectus,

sales materials, agreements) by co-working with outside legal counsels and AB

disclosure team.

4. Registration / reporting to the financial regulators and associations (JITA, JIAA,

JSDA and Type II Association).

5. Review /create/update internal rules and policies.

6. Communicate with overseas colleagues (Legal & Compliance as well as other

divisions such as business and investment team).

7. Review contracts (IMAs both in Japanese and English, general contracts)

8. Review investment guidelines

9. Provide employees with compliance training and guidance on regulatory and

policy requirements.

10. Handle asset management general compliance matters

11. Handle incidents and risk management related matters



⚫ Experience and basic knowledge on asset management businesses such as ITM

funds and public disclosure in Japan are plus. But potential is also considered.

⚫ Communication skill in Japanese and English. As for English, reading and writing

skills are important.

⚫ Legal background and relevant experience in compliance/risk management are plus

⚫ Team player