Full Job Description

Location: Tokyo-To, Japan

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

Lead compliance and conduct risk initiatives, partnering with business leaders to uphold regulatory standards in asset management.

Bulge Bracket Investment Banks

16 days ago

clicks

Vice President, Japan Asset Management Compliance, Conduct & Operational Risk

at J.P. Morgan

ExperiencedNo visa sponsorship

Not specified

Currency not set

City: Tokyo

Country: Japan

Senior compliance role supporting Japan asset management businesses by ensuring regulatory and conduct standards are met. Partner with management, business teams and control partners to coordinate regulatory engagements, licensing, privacy, and employee compliance matters. Implement and advise on the operational risk management framework and provide second-line oversight, reviews of incidents, and remediation challenge. Deliver training and drive continuous improvement and a culture of compliance and accountability.

Apply now

Full Job Description

Location: Tokyo-To, 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

Lead compliance and conduct risk initiatives, partnering with business leaders to uphold regulatory standards in asset management.

Job Details

Vice President, Japan Asset Management Compliance, Conduct & Operational Risk

Full Job Description

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Job Details

Vice President, Japan Asset Management Compliance, Conduct & Operational Risk

Full Job Description

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