Are you ready to make a difference in the world of asset management compliance? As a Vice President in Japan Asset Management Compliance, Conduct & Operational Risk, you will play a key role in guiding our business through a complex regulatory environment. This is your opportunity to collaborate with senior leaders, influence best practices, and help foster a culture of integrity and accountability. Join a dynamic team that values your expertise and supports your professional growth.
As a Vice President in the Japan Asset Management Compliance, Conduct & Operational Risk team, you will work closely with management, business teams, and control partners to ensure our business activities meet all regulatory requirements. You will assess compliance and conduct risks, provide guidance and training, and help cultivate a culture of personal accountability and high standards in governance and controls. Your work will directly contribute to the strength and reputation of our asset management business in Japan.
Job Responsibilities
- Coordinate regulatory engagements, including exams, surveys, inquiries, and ad hoc requests
- Provide guidance on and facilitate/perform licensing and registrations with the JFSA, JITA, JSDA and other relevant bodies
- Provide guidance on privacy and local firewall matters
- Implement and advise on the firm's Employee Compliance policies, specifically as relate to Personal Account Dealing, Gifts and Business Hospitality, Outside Business Interests etc
- Implement the firm's operational risk management (ORM) framework to independently assess the operational risks and control environments, through qualitative and quantitative means by leveraging the support infrastructure of the offshore AM ORM teams.
- Support the annual Legal Entity Risk Assessment process, through providing comprehensive second line of defence review on the first line of defence's assessment of control effectiveness and emerging risks
- Review escalations of errors and other issues, to provide a second line of defence credible challenge on robustness of controls, remediation measures or root cause analyses
- Facilitate the preparation and delivery of relevant compliance and conduct risk training
- Build strong partnerships with business stakeholders and challenge the status quo to drive continuous improvement
Required Qualifications, Capabilities, and Skills
- Bachelor's degree in Law, Business, Finance, or a related field
- Minimum 10 years of relevant experience in Compliance, Conduct Risk, Operational Risk, Audit, or Business Control Functions within an asset management company, bank, or securities firm
- Extensive knowledge of financial regulations and self-regulatory organization rules relevant to asset management businesses and products
- Experience managing regulatory exams and engagements
- Japan Securities Dealers Association Internal Administrator Qualification (Naibu Kanri Sekinis-sha)
- Proficiency in both Japanese and English
- Strong communication skills, attention to detail, and a collaborative approach
- Demonstrated problem-solving and analytical skills, with the ability to work independently and as part of a team
- Ability to deliver as an individual contributor and work cohesively with the team
- Proven ability to partner with business leaders and drive a culture of compliance and conduct risk awareness
Preferred Qualifications, Capabilities, and Skills
- Ability in deploying technology tools (eg large language models, Alteryx, Python) to derive process efficiencies and to facilitate work tasks
- Experience delivering compliance and conduct risk training to diverse audiences
- Strong organizational skills and ability to manage multiple priorities
- Proactive, self-motivated, and open to professional growth and new responsibilities
- Ability to influence and drive change in a complex, matrixed environment
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