Senior Compliance Advisory - Investment Management

Tokyo 23 Wards Permanent Foreign Multinational
  • Senior compliance advisory role within a global investment management company
  • Competitive salary package with good career prospects

About Our Client

Our client is a market-leading global investment management business with an established presence in Japan. They provide a comprehensive range of investment solutions across multiple asset classes to their institutional and retail investors.

Job Description

  • Proactively engage with the Investment Management functions and be responsible for delivering timely and high-quality compliance and regulatory advice to all stakeholders
  • Keep abreast of emerging regulatory rules and announcements and interpret these into clear policy, procedure and control design
  • Recognize current industry trends as well as compliance issues and research and analyze their impact on the business. Communicate relevant information to respective stakeholders and management
  • Respond to client issues and regulatory inquiries related to Investment Management activities
  • Review the prospectus and investment agreements in order to ensure they are compliant with regulatory requirements
  • Keep informed of internal developments which impact regulatory requirements e.g. fund structures, new products
  • Develop and maintain a strong peer network as well as productive relationships with executive stakeholders by providing expert support and quick issue resolution
  • Act as a first point of contact for Investment Compliance queries in Japan, connecting with the wider team as required

The Successful Applicant

  • 10+ years of compliance experience within the investment management industry
  • Proven knowledge of Japanese regulations related to investment management business
  • Good understanding of complex financial products across multiple asset classes, including equities, fixed income, FX and derivatives
  • Effective influencer and communicator, able to build trust and productive relationships, while comfortable challenging and negotiating different viewpoints
  • Ability to adapt to a fast changing regulatory and business environment and deliver robust advice under challenging deadlines
  • Collaborative problem-solver able to work through ambiguous, shifting and sometimes competing priorities
  • Excellent interpersonal skills with the ability to communicate clearly and effectively with stakeholders at all levels of seniority, especially senior management
  • Oral and written fluency in Japanese and English

What's on Offer

  • Competitive salary package
  • Modern office located in central Tokyo
  • Good career prospects
  • Stable work environment
Andy Clubbe
Quote job ref
Phone number
+813 6832 8671

Job summary

Banking & Financial Services
Compliance & Legal
Financial Services
Tokyo 23 Wards
Job Type
Consultant name
Andy Clubbe
Consultant phone
+813 6832 8671
Job Reference
Company Type
Foreign Multinational