Senior Investment Guideline Compliance

Tokyo 23 Wards Permanent Foreign Multinational
  • Senior role with broad exposure across the business
  • 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

  • Work with colleagues in Japan and various locations to ensure the delivery of monitoring activities
  • Use proprietary and market-leading tools to perform monitoring of trading and other investment activities and investigate exceptions and incidents
  • Investigate and assess matters escalated to the Investment Compliance team
  • Assist with thematic reviews, desktop reviews and projects, as required
  • Coordinate and collaborate with internal teams to respond to requests and queries from internal as well as external sources (e.g. trustees, auditors, regulators)
  • Work with delivery teams to develop and maintain management information reporting, metrics and dashboards
  • Support colleagues in providing advice to investment professionals on day to day compliance-related matters

The Successful Applicant

  • 8+ years of compliance experience within the financial services industry
  • Experience in investment compliance monitoring preferred, although control testing or other relevant experience can be considered
  • Firm understanding of concepts and practices relating to asset management
  • Highly motivated individual with strong analytical capabilities and proven experience in generating insights from complex data sets
  • Oral and written fluency in Japanese and English
  • Highly motivated, able to think logically, critically & quickly
  • Excellent communication and inter-personal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables

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