Head of Compliance - Fintech Asset Management

Tokyo 23 Wards Permanent Japanese Corporate
  • Senior role reporting to the Chief Risk and Compliance Officer
  • Expanding business with good career opportunities

About Our Client

Our client is a very innovative Fintech company that provides discretionary investment management services for retail investors

Job Description

  • Provide support and advice for management and business from the perspective of investment trust / asset management compliance and internal control
  • Planning, enforcement and management of compliance programs
  • Compliance monitoring (regular and continuous statutory documents, operational guidelines, regulatory notifications / report submission status, etc.)
  • Compliance checks (AML / CFT, advertisement examination, investment trust related documents, review of sales materials, etc.)
  • Planning, document creation and implementation of in-house compliance training activities
  • Internal regulation management (coordination with related departments responsible for enactment / revision of proposals, management of compliance-related regulations)
  • Act as a key point of contact for the local regulators

The Successful Applicant

  • 10+ years of experience working at a regulated financial institution in Japan
  • Proven knowledge and experience regarding investment trust / asset management compliance, risk management or internal audit
  • Experience managing and supervising a team
  • Ability to coordinate with other departments within the company and external organizations
  • Team player with a strong sense of responsibility
  • Experience liaising with local regulatory bodies
  • JSDA Sales Representative and Internal Control preferred
  • ACAMS (or other AML / CFT related qualifications) a plus
  • Native-level Japanese and business level English

What's on Offer

  • Expanding company with good career prospects
  • Good work life balance
  • Located in central Tokyo
  • Competitive salary package
Andy Clubbe
Quote job ref
Phone number
+813 6832 8671

Job summary

Job Type
Consultant name
Andy Clubbe
Consultant phone
+813 6832 8671
Job Reference
Company Type