Position: Japan Senior Compliance Officer
Company: Global Investment Management Firm (Confidential)
Location: Tokyo, Japan
Employment Type: Full-time
Overview
A global, privately owned investment firm is seeking a Senior Compliance Officer to join its Japan office. This role sits within both the Global Compliance team and the local Japan entity, supporting regulatory compliance and business operations in Japan.
The position offers strong exposure to both local and global stakeholders, with a clear career path toward a future Chief Compliance Officer role.
Position Summary
The Senior Compliance Officer will be responsible for ensuring regulatory compliance across the Japan business, including interpreting regulations, managing relationships with regulatory authorities, and supporting internal stakeholders with compliance guidance.
Key Responsibilities
Regulatory Compliance & Advisory
Interpret and apply Japanese financial regulations and legislation
Provide compliance advice to the Japan business and support client communications
Ensure adherence to internal compliance frameworks and policies
Regulatory & External Communication
Communicate with regulatory authorities (e.g., FSA, Kanto Local Finance Bureau)
Liaise with self-regulatory organizations (e.g., JSDA, JIAA)
Policy & Documentation Management
Review and update Compliance Manuals, policies, and procedures
Ensure documentation aligns with regulatory requirements
Marketing & Client Material Review
Review marketing materials and client communications for compliance
Ensure alignment with regulatory standards and internal policies
Training & Internal Support
Conduct compliance training sessions for Japan staff
Support teams with compliance-related queries and guidance
Monitoring & Reporting
Monitor portfolio compliance as part of the global team
File regulatory reports (e.g., substantial shareholding reports)
Support ongoing compliance monitoring and reporting activities
Cross-functional Collaboration
Work closely with Legal, Risk, Internal Audit, Investment, Operations, and Finance teams
Contribute to global compliance initiatives and projects
Qualifications
Required
Minimum 3+ years of experience in Compliance, Legal, Risk, or Internal Audit within financial services
Strong written and verbal communication skills in Japanese and English
Bachelor’s degree (Law, Finance, or Accounting preferred)
Strong analytical and problem-solving skills
Ability to work independently and manage multiple stakeholders
Preferred
Experience in asset management
Familiarity with Japanese regulatory frameworks and reporting requirements
Key Strengths
High attention to detail and accuracy
Strong judgment and independent thinking
Team-oriented with the ability to train and support others
Proactive, resilient, and adaptable mindset
Effective communicator across all levels
What We Offer
Competitive, performance-based compensation package
Exposure to global teams and international projects
Clear career progression toward Chief Compliance Officer
Dynamic and collaborative working environment
Company Overview
Global investment firm with over $30B in assets under management
Offices across 5 continents with 400+ professionals
Long-term, fundamental investment philosophy with a focus on delivering strong client outcomes