Senior Manager Compliance
Core
Subject matter expert and owner of key compliance functions including regulatory filings, marketing material reviews, regulatory engagement, and corporate governance activities for an asset manager in Tokyo.
Role type
Senior Manager Compliance (Regulatory Compliance)
Builds
Regulatory adherence and risk mitigation for investment advisory and mutual fund operations in Japan.
Domain
Financial Services / Asset Management / Japanese Regulatory Compliance
Deliverable
client delivery | dashboards & analysis
Required skills
Japanese regulatory and legal regimes knowledge, regulatory examination techniques, mutual funds and separate account management expertise, corporate governance, statutory filing management, risk assessment, training program development
Preferred skills
Asia-Pacific regulatory regimes knowledge, AI/Blockchain/Digital Assets product knowledge
Technologies
N/A
Responsibilities
Establish and develop relationships with regulators and industry bodies, research legislation and advise business on regulatory changes, partner with departments on business initiatives, review marketing materials for regulatory adherence, provide onshore support for Board Meetings and company registry filings, manage corporate seal and registrations, identify and mitigate regulatory risks, coordinate with internal and external auditors, develop and deliver compliance training programs
Seniority
Senior Manager, hands-on IC with strategic advisory