Compliance, Asset Management Compliance, Vice President or Associate, Tokyo
GLOBAL COMPLIANCE
Compliance prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes this through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
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Job Description:
This position sits in divisional compliance and is focused on Asset Management (AM) business within Asset and Wealth Management. AM delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. AM's clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AM serves a diverse range of clients - individuals, financial advisors, and institutions - who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future.
AM Compliance is seeking a Compliance Associate to join the AM Compliance team in Tokyo. The individual will also be part of the broader AM Compliance team, which provides daily advice to AM's various business teams on portfolio management, investing, fundraising, various regulations applicable to Asset Management business, reputational risk, and other various regulatory requirements. The individual will interact with different business lines and control functions, including AM's Portfolio Management teams, Sales/Marketing, Finance, Operations, Engineering, Legal, and Internal Audit. The ideal candidate will have a strong interest in understanding AM's business model and operational processes.
Principal Responsibilities include:
- Provide compliance oversight and support for AM personnel and provide advice on how to conduct AM's business in a manner that complies with the vast array of applicable rules, regulations, and regulatory expectations.
- Provide daily advice to the business units on investing, fundraising, regulatory requirements and reputational risk. Develop and implement compliance initiatives to comply with new rules and regulations.
- Review and advise on product marketing materials.
- Assist in actively managing regulatory and legal risks.
- Create and deliver training for business.
- Draft and maintain firm policies and procedures.
- Assist in identifying potential areas or topics for deep dive reviews and monitoring and conduct those reviews accordingly.
- Work closely with offshore teams on global initiatives and projects.
- Must be a proactive team player, with a strong sense of urgency and the ability to get along with others.
- Must understand basic corporate finance concepts.
- Must work well under pressure and have a positive, hands-on, "can do" attitude.
- Ability to work not only independently but as part of a team.
- Excellent multi-tasking abilities required. Ability to implement solutions is critical.
- This is a job for a generalist. Must be comfortable issue-spotting, working with subject matter experts and leading teams to resolution.
Qualifications:
- JD or MBA or Bachelor's degree with sufficient experience in compliance, legal, securities industry.
- Fluent in Japanese. Business level English
- Ability to handle multiple tasks simultaneously and work in a fast paced environment
- Excellent communications skills (oral and written), judgment, organizational skills, and project management skills
- 3-6 years of Compliance, Legal, Regulatory or Financial Services industry experience is preferred
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