【COMPANY OVERVIEW】
A global asset manage
【JOB RESPONSIBILITIES】
Establish and implement the local Compliance Plan aligned with Group Compliance Plan including ensuring a robust monitoring program is in place to meet Japan regulatory and business conduct requirements to supplement global compliance monitoring and testing
Stay up to date with regulatory developments in Japan and ensure implementation of regulatory changes by the business including to maintain Japan policies and procedures to reflect regulatory updates in Japan to applicable Group policies
Handle regulatory filings to applicable authorities including the FSA, KFB, JIAA, T2FIFA and Tokyo Metropolitan Government
Provide sound and risk‐based regulatory and compliance advice and support on DIM/IAAB/Type II business requirements including the promotion of services and products to Japanese investors
Ensure there are robust processes in place for required sign‐off with respect to marketing materials and provide/update a guidance to the marketing material review team where appropriate
Provide sound and risk‐based regulatory and compliance advice to the Real Estate acquisition and asset management teams
Arrange and deliver compliance training as required
Support for the AML officer on Japan AML law along with Group Financial Crime Policy
Manage audits by regulators, internal or external audits and ensure corrective actions are implemented
Participate in regional and global compliance initiatives and projects
Support Corporate Secretary to ensure that requirements of the Corporation Act of Japan are met
Any other related matters assigned by Japan Compliance officer
【REQUIREMENTS】
Desirable Qualifications:
University degree (or equivalent qualification)
Relevant Compliance qualification (e.g. Internal Control Manager, Certified Anti‐Money Laundering Specialist)
Demonstrates a professional knowledge of the key Japanese legal and regulatory frameworks including financial crime (AML, CTF, Fraud, Sanctions, ABC and tax evasion)
3 to 8 years Compliance or Legal relevant experiences in asset management industry
Regulatory and compliance / legal knowledge of regulatory environment for funds and investment services
Ability to conceptualize complex issues