Director, Legal & Compliance

Introduction

This is a senior-level compliance leadership opportunity within a global investment management organization. The role is focused on ensuring robust regulatory adherence, risk management, and governance across asset management activities in Japan, while also leading and developing a high-performing compliance team.

About the Role

The role sits within the Compliance function and acts as a senior team lead responsible for providing advisory and oversight support across investment management operations in Japan. The position ensures compliance with local regulatory requirements, internal policies, and group standards, while working closely with business leaders and functional stakeholders.

The individual will also play a key role in managing regulatory interactions, supporting inspections and inquiries from the Financial Services Authority equivalent regulator, and ensuring effective escalation and resolution of compliance issues.

Responsibilities

• Lead and supervise compliance activities across business functions, ensuring adherence to applicable laws, regulations, and internal policies
• Provide practical compliance advisory support to front-office investment teams, including interpretation of regulatory requirements and client/fund documentation
• Oversee implementation of group compliance policies and support resolution of implementation challenges across departments
• Review and validate internal and external compliance reporting, including regulatory filings and group-level reporting requirements
• Support regulatory engagement, including onsite inspections, licensing matters, and responses to regulator inquiries
• Facilitate escalation and resolution of compliance issues, including internal investigations and remediation of control gaps
• Oversee compliance aspects of sales and marketing activities, including client onboarding processes and anti-financial crime controls

Requirements

• 8+ years of compliance experience within an asset management or investment management organization
• Strong knowledge of Japanese financial regulations applicable to asset management, including relevant financial instruments legislation and industry rules
• Background in compliance, audit, legal, accounting, or finance, preferably with relevant professional qualifications
• Strong leadership experience, including ability to manage and develop junior team members
• Proven ability to exercise sound judgment in complex regulatory and stakeholder environments
• Strong interpersonal and communication skills with the ability to influence senior stakeholders
• High level of initiative, accountability, and ability to manage deadlines effectively
• Japanese language: fluent (reading and writing essential)
• English language: business level (reading and writing; conversational proficiency)

Why Apply

• Opportunity to take a senior leadership role within a highly regulated and globally connected investment management environment
• Exposure to complex regulatory advisory work and direct engagement with senior stakeholders and regulators
• Chance to lead and develop a compliance team while shaping governance and control frameworks
• Strong focus on professional growth, supported by structured learning and development programs
• Hybrid working model with a balance of flexibility and collaboration
• Competitive compensation structure with performance-based incentives and comprehensive benefits package