Investment Compliance Officer  コンプライアンス

Salary/Rate : ¥10M - ¥15M
Location : Tokyo Metropolis
Post Date :
Employment Type : Permanent
Job Reference : 21106-FS
Job Classification : Financial Services

Description :

Duties & Responsibilities

  • Ensure that various funds trading at the firms trading desk in Hong Kong are in compliance with applicable regulations and investment guidelines.
  • Advise investment professionals in Japan on day to day compliance matters.
  • Provide training sessions to investment professionals on investment guidelines / restrictions for specific funds.
  • Investigate and provide resolution to breaches and investment processes.
  • Process shareholding limit increase requests across the region.
  • Research and respond to requests and queries from internal as well as external sources.
  • Develop and implement compliance procedures to enhance monitoring and operational effectiveness.
  • Research regulatory developments and assesses investment compliance implications.


  • Degree-level educated, with a keen interest in financial markets
  • Qualified lawyer, accountant or financial analyst (CA, CFA or equivalent qualification preferred)
  • At least 4 years of practical experience within financial services or asset management industry (preferably in compliance, audit, investigations or market surveillance)
  • Good working knowledge of equity and fixed income markets with a genuine interest in the investments process

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Ote Center Bldg, 22F
1-1-3 Otemachi
100-0004 Tokyo
Phone : +813 5219 6633

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