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 requestsProvide guidance on and facilitate/perform licensing and registrations with the JFSA, JITA, JSDA and other relevant bodiesProvide guidance on privacy and local firewall mattersImplement and advise on the firm’s Employee Compliance policies, specifically as relate to Personal Account Dealing, Gifts and Business Hospitality, Outside Business Interests etcImplement 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 risksReview escalations of errors and other issues, to provide a second line of defence credible challenge on robustness of controls, remediation measures or root cause analysesFacilitate the preparation and delivery of relevant compliance and conduct risk trainingBuild 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 fieldMinimum 10 years of relevant experience in Compliance, Conduct Risk, Operational Risk, Audit, or Business Control Functions within an asset management company, bank, or securities firmExtensive knowledge of financial regulations and self-regulatory organization rules relevant to asset management businesses and productsExperience managing regulatory exams and engagementsJapan Securities Dealers Association Internal Administrator Qualification (Naibu Kanri Sekinis-sha)Proficiency in both Japanese and EnglishStrong communication skills, attention to detail, and a collaborative approachDemonstrated problem-solving and analytical skills, with the ability to work independently and as part of a teamAbility to deliver as an individual contributor and work cohesively with the teamProven 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 tasksExperience delivering compliance and conduct risk training to diverse audiencesStrong organizational skills and ability to manage multiple prioritiesProactive, self-motivated, and open to professional growth and new responsibilitiesAbility to influence and drive change in a complex, matrixed environment