Vice President / Assistant Vice President, Compliance
Position Overview
A global investment and asset management organization is seeking a VP or AVP of Compliance to oversee compliance functions across its Japan operations and affiliated entities. This role is responsible for building, operating, and continuously enhancing compliance frameworks required for multiple regulated businesses, including investment management, investment advisory, financial instruments, and real estate-related activities.
As the primary liaison with Japanese regulatory authorities, the successful candidate will lead regulatory communications, inspections, and licensing-related matters while strengthening governance and risk management practices. The role also involves monitoring regulatory developments and embedding legal and compliance requirements into day-to-day business operations. Close collaboration with global headquarters compliance teams is expected to ensure alignment with international standards.
This is a highly visible and influential position, offering the opportunity to design and implement a compliance structure that supports sustainable business growth.
Key Responsibilities
Plan, implement, and manage compliance programs for the company and its group entities.
Maintain, review, and update internal rules, policies, and compliance manuals.
Prepare, operate, and support Compliance or Risk Committees.
Design and deliver compliance training programs as required.
Prepare regulatory filings, notifications, and periodic reports for supervisory authorities.
Lead communications and negotiations with regulators on licensing and compliance matters.
Respond to regulatory inquiries and manage onsite inspections.
Oversee conflict-of-interest management, AML compliance, handling of corporate information, and statutory recordkeeping.
Supervise compliance reviews related to investment opportunities and transactions.
Perform additional compliance-related projects and responsibilities as needed.
Required Qualifications and Experience
Hands-on experience in compliance roles within a financial institution; exposure to real estate funds or private equity structures is an advantage.
Strong knowledge of Japanese regulatory frameworks, including financial instruments, real estate transactions, asset securitization, and corporate law.
Ability to proactively identify issues and communicate effectively with internal stakeholders.
Experience coordinating with external legal counsel and advisors.
Willingness to engage in both strategic oversight and hands-on administrative work.
Native-level Japanese and sufficient English proficiency to perform job responsibilities.
Preferred Qualifications
Qualification as a Japanese attorney.
Licensed Real Estate Transaction Agent.
Candidates without this license will be expected to pursue qualification after joining.
Additional Information
Seniority: VP or AVP level
Function: Compliance / Risk Management
Location: Japan
Application deadline: Late January 2026