The client is representing a global, privately owned investment firm with an international footprint and a long track record of serving clients around the world. The firm is built on a fundamental, long-term, and contrarian investment philosophy, with a culture that encourages bold but considered decisions even in volatile markets.
Its Japan business operates through a regulated local entity focused on delivering investment products to Japanese institutional investors under the relevant licenses and industry memberships. The organization values independence of thought, sound judgment, and a commitment to meaningful long-term outperformance for clients. It is a collaborative environment where professionals work across functions and geographies to support the firm’s business and regulatory obligations.
This Tokyo-based Senior Compliance Officer role is a key member of the Global Compliance team and the Japan business, reporting mainly to the Japan Chief Operating Officer and Chief Compliance Officer. The role is responsible for helping ensure the firm’s business in Japan is conducted in full compliance with applicable laws, regulations, and industry standards.
Core responsibilities include interpreting Japanese legislation and regulation, liaising with Japanese regulators and self-regulatory bodies, and reviewing marketing and client communication materials. You will also maintain and update the local Compliance Manual, Policies, and Procedures, provide practical compliance advice to the Japan business, and deliver compliance training to local staff. In addition, the role involves monitoring portfolio compliance across funds, supporting global compliance initiatives, filing substantial shareholding reports, and working closely with Legal, Risk, Internal Audit, Investment, Operations, and Finance.
3+ years of experience in Compliance, Legal, Risk Management, or Internal Audit within financial services
Experience in asset management is a plus
Strong written and verbal communication skills in Japanese and English
Bachelor’s degree in Law, Finance, Accounting, or a related field
Detail-oriented, pragmatic, proactive, and able to work well across functions
Performance-based remuneration package, with pay reflecting experience and results
Clear long-term succession opportunity, with potential to grow into a Chief Compliance Officer role after several successful years
