◎Ensure/develop an effective risk management, compliance and legal control system of the Company based on the COBC principles, local regulations and our policies
◎Ensuring compliance with applicable laws, regulations, internal policies and contractual terms.
◎Provide practical solutions and other supports to the first line departments, especially business, product, investment and business operations (as assigned) as a second line function.
◎Playing a proactive role in the development of new fund and product structures (when assigned).
◎Working closely with the other the Risk, Compliance and Legal (“RCL”) members, department heads and colleagues, and HO RCL team to implement the local as well as our policies and standards from the RCL perspectives.
◎Liaise with HO RCL staff in handling reports, meetings and other communications.
◎Review/Draft existing or new policies and procedures from the RCL perspectives to improve weaknesses.
◎Handle Compliance Monitoring and keep management advised of relevant important developments in the RCL perspectives.
◎Proven experience as a Compliance Manager in terms of knowledge and experience
◎Business level English and Japanese in speaking and writing
◎Self-motivated and hands-on work style
◎Experience of the financial regulations, preferably laws, regulations, industry associations rules and industry compliance standards of the asset management business
◎Experience with auditing and reporting procedures
◎Familiarity with investment management, products, services and markets
◎Analytical mind with problem-solving aptitude
◎BA in Law, Business or a related field
◎Understand and demonstrate company’s core values