2073 - Job Japan Compliance Officer Asset Management
Expanding Asset Management firm with a full DIM license is looking for a Compliance Officer in Tokyo. Major responsibilities are regulatory relations will include reporting or responding to the request and inspections of local authorities. Full understanding of all differences & benefits between the IA (Investment Advisory), full DIM (Discretionary Investment Manager) and Pro DIM licenses is expected. Smooth maintenance of relationships with any regulatory counterparts at the SESC & Japanese FSA, will also be coordinated with. More than 10+ years of experience on related issues within asset management firms, investment banks, securities firms, institutional investors & other related parties would be expected. The background can be flexible in this role. In addition, professional knowledge about financial product laws and regulations for fund & securities products are required. Native Japanese and business level English is also expected. As the firm grows in assets under management in Japan & Asia, an incentive bonus will be shared as AUM is raised for solid performance. For the latest updates on financial jobs and news on Japan & Asia, follow TMJ Partners for FREE on our LinkedIn company page. https://www.linkedin.com/company/tmjpartners