Legal & Compliance Officer

Introduction:

This position is for an experienced professional with a background in legal, compliance, and risk management to support a leading financial services organization. The role focuses on ensuring regulatory compliance, managing risks, and providing legal and compliance support across various business activities.

About the Role:

The position will involve reviewing marketing materials, managing regulatory reporting, updating internal policies, and collaborating with various teams, both locally and internationally. The role demands a strong understanding of the regulatory landscape, particularly in asset management, with a focus on maintaining and enforcing compliance practices across the organization.

Responsibilities:

• Review and ensure compliance of marketing materials and documents.
• Handle registration and reporting to financial regulators and industry associations.
• Develop, update, and review internal policies and rules.
• Collaborate with overseas colleagues in Legal, Compliance, and other departments such as business and investment teams.
• Review and negotiate various contracts including fund trust deeds, investment management agreements, and general contracts.
• Ensure investment guidelines are adhered to.
• Provide compliance training to employees, ensuring they understand and comply with relevant regulatory and policy requirements.
• Oversee general compliance matters related to asset management.
• Manage incidents and assist with risk management related matters.

Requirements:

• Basic knowledge and experience in asset management, such as fund operations, offshore funds, public disclosure, and private alternatives, especially in the Japanese market, are beneficial.
• Strong communication skills in both Japanese and English, with proficiency in reading and writing in English.
• A legal background or relevant experience in compliance and risk management is a plus.
• Must be a team player with the ability to collaborate effectively across departments.

Why Apply:

This role offers the opportunity to work within a dynamic team that is critical to the company's operations. You will gain exposure to a wide range of legal, compliance, and risk management activities, while working with teams across the globe. The position offers potential for professional growth and the chance to contribute to a well-established financial institution.