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Asset Management Compliance Advisory - Vice President
senior · Asset Management
Shape how a leading asset manager meets evolving regulatory expectations in Japan—through practical guidance, strong risk oversight, and clear partnership with the business. You’ll work across products, distribution, and investment teams to turn rules into workable controls and trusted advice. We’ll support your growth with exposure to complex regulatory matters and regional initiatives. If you enjoy problem-solving, influencing outcomes, and raising standards, you’ll thrive here.
As a Vice President in Asset Management Japan Compliance, you will work closely with management, business teams, and control parties to ensure business activities satisfy pertinent regulatory requirements. You will also assess compliance risks and provide guidance and training to employees to facilitate compliance with applicable conduct-of-business regulations and policies governing Asset Management's businesses. Your role will be pivotal in cultivating a stronger, unified culture that embraces a sense of personal accountability for developing the highest corporate standards in governance and controls across the firm.
Job Responsibilities
- Coordinating regulatory engagements (exams/surveys/enquires/ad hoc requests), analyzing implication of regulatory developments (consultation papers/regulatory changes) and consolidating feedbacks from business teams.
- Providing second line of defense oversight and challenge of the businesses processes and controls related to Compliance risks, currently known as Control and Operational Risk Evaluation (CORE) and engage in other risk assessments needed.
- Facilitating the preparation and delivery of relevant compliance trainings
- Providing the oversight and guidance of mutual funds business compliance matters and relevant initiatives.
- Keeping abreast of regulatory matters relating to products and liaising with counterparties to follow-up regulatory reporting items where necessary.
- Performing licensing registration & associated filing to regulators and providing day-to-day advice on personnel licensing requirements to businesses and senior managers.
- Participating in the regional coordination of ad-hoc compliance projects.
- Supporting other areas of the team’s coverage including sales and distribution, investment and trading, employee compliance, client service; fiduciary/advisor obligations and the Asset Management Compliance Program more broadly.
Required qualifications, capabilities, and skills
- Bachelor’s degree in Law, Business, Finance and / or related fields.
- 10 + years of work experience in Compliance, Operational Risk, Audit or Business Control Functions of Asset Management Company, Bank or Securities firm.
- Extensive knowledge of financial regulation and Self-Regulatory Organization rules relevant to asset management businesses and products.
- Experience in dealing with regulatory exams
- Japan Securities Dealers Association Internal Administrator Qualification (Naibu Kanri Sekinis-sha)
- Japanese and English Proficiency.
- Good communication skills, detail-oriented, organized attitude and working manner with teamwork spirit.
- Be curious, proactive, self-motivated, thoughtful, agile, open to professional growth and new responsibilities in executing the Compliance program
- Superior problem solving and analytical skills, capable to work independently and also be a team player.
- Be able to deliver as an individual contributor and be able to work cohesively with the team
- Ability to gain partnership with the business and challenge the status quo