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Updated 2020-11-13
Activated 2020-11-13

Compliance Officer - Global Investment Management

  • ★★ Staff Level
This posting is managed by:
Michael Page International Japan K.K./マイケル・ペイジ・インターナショナル・ジャパン株式会社
Company Name Company is not publicly visible
Job Type
Michael Page International Japan K.K./マイケル・ペイジ・インターナショナル・ジャパン株式会社
Legal - Legal (Compliance Officers)
Industry Banking/Securities
Location Asia Japan Tokyo

Job Description Global investment management company with a proven track record of success is seeking a compliance officer to join their team in Tokyo. This is a new headcount to strengthen the team. Whilst direct compliance experience is not mandatory, potential candidates should have a fundamental understanding of the Japanese regulatory environment and be prepared to demonstrate their interest in pursuing a professional career in compliance


* Identifying, understanding and interpreting Japanese legislation and regulation

* Communicating with the Japanese authorities (KLFB, FSA) and the self-regulatory bodies (JSDA, JIAA)

* Reviewing all marketing and client communication materials

* Reviewing Compliance Manual, Policies and Procedures and updating them as necessary

* Providing advice to Japan business and support new client on-boarding process

* Conducting compliance training on a regular and ad-hoc basis

* Working closely with various functions in global teams such as Legal, Risk, Internal Audit, Investment, Fund Operations and Finance

* Working on investment reporting to Japanese institutional clients and regulatory reporting to the regulator and self-regulatory bodies

* Providing client services particularly at the timing of clients' transactions (investment, redemption, concluding Investment Management Agreements)

* Manage and monitor clients' DIM accounts communicating with trust banks

* Working closely with other colleagues in Fund Operations Team

* Monitor daily equity transactions, mainly Japanese equity trading


* 3+ years of relevant working experience in financial industry (not limited to asset management business)

* Bachelor's degree from a reputable university (Law, Finance or Accounting preferred)

* Self-starter with high standards, resilience, stamina, determination and perseverance

* Motivated team player with excellent analytical and communication skills

* High level of accuracy and keen attention to detail

* Good judgment and ability to think independently

* Oral and written communication skills in Japanese and English

* Ability to interact with and influence people at all levels of seniority

Job Offer

* Competitive salary package

* Located in central Tokyo

* Excellent career prospects with a potential path to become Chief Compliance Officer

応募は、以下の応募ボタンからお願いします。詳細につきましては、Andy Clubbeにお問い合わせください+813 6832 8671
Company Info Our client is a global investment management company established more than 30 years ago and has more than US$30 billion AUM
English Level Business Conversation Level (TOEIC 735-860)
Japanese Level Native Level
Salary Depends on experience   

Please apply from here



Michael Page International Japan K.K./マイケル・ペイジ・インターナショナル・ジャパン株式会社

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Compliance Officer - Global Investment Management