TMJ Partners is a financial recruiter for Japan and Asia for more than 18 years. Focused on FinTech, Bitcoin, FX, Securities, Banks, Hedge Funds and Private Banks. 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 Global Asset Management firm is looking for a Bilingual Senior Compliance Officer in Tokyo.
* Major responsibilities are trade and regulatory relations that will include reporting or responding to the request and inspections of local authorities.
* Full understanding of all differences & benefits between Trade Surveillance procedures and other related areas within Capital Markets or Asset Management is expected.
* Any level of Know Your Customer (KYC) Documentation or Certified Anti-Money Laundering Specialist (CAMS) certification would be considered very positive.
* Any internal control or middle office experience is positive. Smooth maintenance of relationships with any regulatory counterparts at the 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, any knowledge about financial product laws and regulations for fund and securities products is required. Native Japanese and business level English is also expected.
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