TMJ Partners is a financial recruiter for Japan and Asia for more than 15 years. Focused on Front Office Finance, Securities, Banking, Hedge Funds and Private Banking. Covering CEO, CAO, COO, CTO, CFO, CPA, Analyst, Marketer, Trader, Sales, Structuring, and Real Estate market positions in Tokyo, Hong Kong, Singapore, and Seoul.
Expanding Asset Management firm with a full DIM license is looking for a Compliance Officer in Tokyo. Major responsibilities are regulatory relations will include reporting or responding to the request and inspections of local authorities. Full understanding of all differences & benefits between the IA (Investment Advisory), full DIM (Discretionary Investment Manager) and Pro DIM licenses is expected. Smooth maintenance of relationships with any regulatory counterparts at the SESC & Japanese FSA, will also be coordinated with. More than 10+ years of experience on related issues within asset management firms, investment banks, securities firms, institutional investors & other related parties would be expected. The background can be flexible in this role. In addition, professional knowledge about financial product laws and regulations for fund & securities products are required. Native Japanese and business level English is also expected. As the firm grows in assets under management in Japan & Asia, an incentive bonus will be shared as AUM is raised for solid performance. For the latest updates on financial jobs and news on Japan & Asia, follow TMJ Partners for FREE on our LinkedIn company page. https://www.linkedin.com/company/tmjpartners