Compliance Analyst/Associate (Japan)

TL;DR

Compliance Analyst/Associate (Finance): Managing regulatory filings, license applications, and trade surveillance for a multi-manager investment platform with an accent on regional compliance frameworks and market abuse detection. Focus on investigating trade alerts, implementing group policies, and ensuring regulatory adherence across Asian markets.

Location: Tokyo, Japan (Onsite)

Company

A market-neutral, multi-manager platform with a strong Asia focus and institutional support across Hong Kong, Japan, Singapore, and the US.

What you will do

• Handle license applications, regulatory filings, and reports.
• Develop, implement, and administer the Group compliance framework and policies.
• Monitor and surveil trading activities to detect and prevent market abuse and insider trading.
• Investigate trade surveillance alerts and escalate potential issues to stakeholders.
• Contribute to regional projects, including system UAT and new investment model discussions.
• Conduct ad-hoc inspections and respond to regulatory requests.

Requirements

• University degree in Business, Finance, or Law.
• At least 2 years of experience in compliance, preferably within brokerage or asset management firms.
• Fluent in English and Japanese.
• Strong analytical, problem-solving, and interpersonal communication skills.
• Proficiency in MS Office Suite (Excel) and Bloomberg.
• Must be based in Tokyo, Japan.

Nice to have

• Proficiency in Python or VBA.

Culture & Benefits

• 20 days of paid annual leave.
• Life and medical group insurance.
• Gym subsidy.