Our client is a Top-tier Global Investment Fund who is hiring a Compliance Officer for their Tokyo team.

Mandatory experience (won't be considered otherwise)

• Minimum 5 years of compliance experience in Japan
• Native level Japanese proficiency (Non-Japanese nationals are also welcome)

Ideal candidates

• Type-II license experience in Japan
• Legal qualification.is highly desirable
• Experience in Private Equity or Alternative Investment Funds

Soft Requirements

• Employ a solid work ethic
• Strong Communication skills
• Good team player
• Inclusive

General Responsibilities

• Ensuring an appropriate compliance framework to comply with Type II license requirements in Japan
• Lead in the review and amendment process for policies and procedures in Japan
• Be the primary point of contact for Japanese regulators
• Assist global legal and compliance team with legal and regulatory matters across jurisdictions
• Advising on and discharging regulatory obligations locally in Japan (both existing and new) and liaising with relevant internal and external teams
• Liaise with external service providers
• Liaise with internal stakeholders to ensure compliance with regulatory obligations
• Support the compliance team in advising deal teams, fund raising, and platform colleagues on regulatory matters including management of conflicts of interest, risk and governance
• Ensure local regulatory reporting requirements are met and mitigate any risks
• Providing support in the approval of marketing material from a SEC perspective
• Play an integral role in complying with regulatory obligations globally for instance with respect to internal audit, regulatory reporting and training initiatives

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