Top Tier Gobal Asset Management firm

Regulatory/Business Compliance who monitors and advises whether the firm acts in line with the rules and regulations.
The job helps the firm to mitigate the risk of unintentional violation of the rules and regulations which is now a key to the success of the business.

• Review sales materials, documents and external communication for both Type 1 business and AM business
• Day to day regulatory filing and reporting works with guidance from senior team members
• Provide regulatory advice on business, ad hoc issues and incidents
• Communicate compliance issues and build relationship with internal clients and catch up business development
• Promote a spirit of compliance to ensure employees to comply with the rules and regulations
• Deal with (self) regulators, build and maintain good relationship
• Revise internal rules and policies and publicize them

• 3 years Experience of Compliance in Asset Management industry
• 3 years Experience of Compliance in Financial Industry
• Regulatory/Business Compliance is preferable
• Fluent in English and Japanese
• Self-motivated
• Communications, Teamwork and Leadership Skills are required
• Training and Coaching Skills are a plus