VP, Asset Management Compliance

The Role

This new key role will be responsible for all aspects of Business Line Compliance (BLC) and Investment Guideline Monitoring (IGM) as well as providing full support to head of AM Business Line Compliance across the lines business. The position will also be overseeing the Retail, Institutional and Alternative AM Businesses in Japan to mitigate compliance risks.

The successful applicant will carry out the following principal responsibilities:

• Business Line Compliance will include new product approvals, day-to-day business advice, document review, handling Code of Ethics matters and managing conflicts of interest, monitoring regulatory developments and conducting relevant training.
• Investment Guideline Monitoring will involve conducting transaction monitoring on regular basis and ad-hoc basis to detect potential breaches of laws and regulations.
• You will review new fund set-up for compliance with Investment Guidelines or Trust Deeds
• You will participate in key projects and provide compliance value-add support, closely working with the relevant teams.

Your Skills & Experience

• Fiduciary Mind set and compliance experience preferable
• Work experience in financial industry and Japan Market knowledge
• Knowledge in Asset Management business
• Knowledge of relevant laws and rules (e.g. Investment Trust, Investment Advisory etc.)
• Impressive organisational skills and ability to handle multiple tasks in a changing environment