Compliance Officer - Asset Management Company

勤務地 東京都
雇用形態 正社員
給与 ¥10000000.00 - ¥13000000.00 per annum
専門 法務・知財・コンプライアンス,
職種 コンプライアンス,
お問合せ Nicolas Rumebe
JOB ID JO-2106-460239
about Nicolas Rumebe

Note: Fluent ~ Native level Japanese required

[Company Description]
Global Asset Management Company

A Compliance Manager to proactively ensure/develop an effective risk management, compliance and legal control system and provide practical support to the business working closely with other members in the team and the company .

As a member of the Risk, Compliance and Legal ("RCL") department, responsible for carrying out or support all risk, compliance or legal activities of the RCL Dept in accordance with the instruction by the Head of Risk, Compliance and Legal, to ensure that the department is able to fulfill its responsibilities, including the following:

  • Ensure/develop an effective risk management, compliance and legal control system of the Company based on the COBC principles, local regulations and company policies
  • Ensuring compliance with applicable laws, regulations, internal policies and contractual terms.
  • Provide practical solutions and other supports to the first line departments, especially business, product, investment and business operations (as assigned) as a second line function.
  • Playing a proactive role in the development of new fund and product structures (when assigned).
  • Working closely with the other RCL members, department heads and colleagues, and HO RCL team to implement the local and company policies and standards from the RCL perspectives.
  • Liaise with HO RCL staff in handling reports, meetings and other communications.
  • Review/Draft existing or new policies and procedures from the RCL perspectives to improve weaknesses.
  • Handle Compliance Monitoring and keep management advised of relevant important developments in the RCL perspectives.
  • Support Risk when necessary especially in analyzing probability and impact of the risks in anticipation of its consequences, designing processes to eliminate or mitigate potential risks, and reviewing/developing risk management controls systems.


  • Proven experience as a Compliance Manager in terms of knowledge and experience (must)
  • Experience of the financial regulations, preferably laws, regulations, industry associations rules and industry compliance standards of the asset management business (must)
  • Experience with auditing and reporting procedures
  • Familiarity with investment management, products, services and markets
  • Self-motivated and hands-on work style (must)
  • Teamwork oriented (must)
  • Business level English and Japanese in speaking and writing (must)
  • Analytical mind with problem-solving aptitude
  • Attention to detail
  • BA in Law, Business or a related field
  • Understand and demonstrate company's core values

[Employment Type]
Full time



Social insurance

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

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