Associate Compliance Officer (Finance)

TL;DR

Associate Compliance Officer (Finance): Managing regulatory and business compliance for a global investment firm with an accent on financial crime frameworks and investment guidelines. Focus on reviewing sales materials, providing regulatory advice, and ensuring adherence to the Code of Ethics and industry surveillance practices.

Location: Tokyo, Japan (Hybrid: 4 days office, 1 day remote)

Company

One of the world’s leading independent global investment firms dedicated to delivering diverse investment strategies and vehicles to clients worldwide.

What you will do

• Manage regulatory, business, and financial crime compliance across the organization.
• Review sales materials, documents, and external communications for regulatory alignment.
• Provide regulatory advice on business issues, ad hoc incidents, and client contract/prospectus development.
• Implement internal controls for the Code of Ethics, including personal account dealing and gifts.
• Maintain relationships with self-regulators and communicate compliance issues to internal clients.
• Support Investment Compliance officers in monitoring guidelines and performing contract analysis.

Requirements

• 3+ years of experience in compliance within the asset management or financial services industry.
• Business English communication skills.
• Broad knowledge of the financial industry and industry surveillance best practices.
• Strong stakeholder management and relationship-building skills with business and technical teams.
• Ability to work independently and handle multiple projects in a fast-paced environment.

Nice to have

• Training and coaching skills.

Culture & Benefits

• Hybrid work schedule (4 days in-office, 1 day remote).
• Generous annual leave plus flexible paid time off.
• Comprehensive health, wellbeing, and parental leave benefits.
• Dedicated learning and development programs.
• Employee stock purchase plan.