An international investment management platform is seeking a Compliance Manager based in Japan to support local regulatory oversight while contributing to broader Asia Pacific compliance initiatives. This role reports to the Head of Asia Compliance and plays a key part in implementing and maintaining the firm’s global compliance framework.
Key Responsibilities
- Oversee compliance with Japanese regulatory requirements, particularly relating to securities regulations and private fund distribution
- Support regional compliance matters across APAC as required
- Develop, implement, and enhance compliance policies and procedures
- Prepare and submit regulatory filings and reports
- Provide advisory support on cross-border marketing and business initiatives
- Review marketing materials to ensure regulatory alignment
- Liaise with regulators, auditors, and represent the firm in regulatory interactions
- Conduct staff compliance training and monitor adherence to internal policies
- Support corporate governance activities including board coordination and regulatory filings
Key Requirements
- At least 5 years of experience in compliance or regulatory roles within financial services
- Good knowledge of Japanese securities regulations, particularly Type II licensing and private fund marketing
- Exposure to broader APAC regulatory frameworks (e.g., Korea, Hong Kong, Singapore, Australia) advantageous
- Strong stakeholder management and communication skills
Interested parties please send your resume to Loretta Chan, R1876188 at [email protected].
Regrettably, only shortlisted candidates will be contacted.
EA License Number: 20C0180 | Amethyst Partners | [email protected]