Head of Investment Compliance - Asset Management Firm

Location: Tokyo
Contract Type: Permanent
Salary: ¥20000000.00 - ¥23000000.00 (年収) + Bonus
Specialization: Legal & Compliance,
Sub Specialization: Compliance,
Contact: Yusuke Genma
Reference: JO-2305-481115
Yusuke Genma

・Applicants must have permission to work in Japan
・Applicants must be able to speak fluent ~ native level Japanese (Equivalent to JLPT N1)

☑Foreign business
☑English language required
☑Japanese language required

Head of Investment Compliance

[Company Description]
Global Asset Management Firm


  • Lead the effort to continue to enhance the Investment Compliance Program
  • Ensure business operations in place as Chief Risk Officer in line with Business Operation Plan.
  • Organize Compliance and Risk Committee including agenda coordination, meeting material controls, minutes draft.
  • Develop, implement and maintain all relevant compliance policies and procedures for applicable Japan and U.S. regulatory requirements, and provide our personnel with guidance on the application of these policies.
  • Provide ongoing guidance to investment professionals and back-office personnel
  • Work to limit regulatory and reputational risk and help to reinforce our culture of compliance.
  • Oversee and conduct daily review and monitoring of pre-trade and batch portfolio compliance with respect to regulatory and internal rules and restrictions across all portfolios.
  • Oversee maintenance and administration of the automated compliance system, including assignment of system access and appropriate updates and configuration of tolerances and limits.
  • Monitor and recommend appropriate controls to cover non-programmable guideline restrictions on a timely basis
  • Monitor developments and address requirements of the Japan FSA, the Japan Investment Adviser Association and other relevant laws and regulations.
  • Provide research on investment compliance related issues.
  • Provide guidance on permissible investment and transaction-related activities.
  • Develop and provide training and guidance on internal governance, supervisory controls and policies, and recent developments.
  • Prepare management reporting.
  • Work closely with Risk and Legal teams to develop and support control functions.
  • Ensure that identified errors, improper conduct, compliance exceptions to regulatory or policy requirements receive appropriate corrective action.
  • Participate in the due diligence program for new and existing external investment managers
  • Monitor employee personal account dealing activities
  • Perform and document compliance forensic testing of adherence to firm policies and procedures
  • Work closely with compliance officers in other regions to enforce consistent expectations and messaging Firm-wide and to promote the Firm's culture of excellence and integrity
  • Participate in matters concerning Japan FSA as they relate to the Investment Division


  • 10+ years of experience in Insurance Industry or Asset Management Investments Compliance (Fixed Income a plus), particularly with Japan FSA matters
  • Prior experience as a Compliance Officer or senior compliance professional
  • MBA, CFA, Compliance Certifications Preferred


  • Good working knowledge/understanding of Portfolio Management / Investment Operations workflows and processes
  • Good working knowledge/understanding of US and Japan Insurance Industry Regulations as they pertain to investment management
  • Understanding of US, Japan and state securities and derivatives regulations as they pertain to Insurance Industry Investment activity
  • Excellent analytical and research skills; ability to solve problems
  • Ability to interface with all levels of management
  • Ability to work effectively with other individuals and departments
  • Ability to lead and execute multiple projects (short and long term) and tasks accurately and on time; ability to work under pressure.
  • Excellent written and oral skills; including written and spoken Japanese and English.

Technical Skills:

  • Microsoft Office Suite (Excel, Access, PowerPoint, Word, Outlook)
  • Experience with a pre-trade compliance or portfolio management system (such as Bloomberg, Charles River, Blackrock Aladdin, etc.)

[Language Requirement]

  • English Language level: Business level
  • Japanese Language level: Fluent - Native Level (Equivalent to JLPT N1)
  • Work permission in Japan required

20-23 million JPY + Bonus
(Experiences and skills will be considered)

Social insurance

Full 2 holiday week system (Sat/Sun) national holidays
New year's holiday
Annual Leave

Please click "apply" if you are interested in the job.
We will review your profile and contact you within five business days should we find that you satisfy the requirements of the hiring company.
Further details about the company and position will be notified at a later date.

Reference: JO-2305-481115
Seniority Level: Mid-Senior level
Job Function: Finance, Legal