Investment Compliance Officer, APAC

Introduction

Our client is seeking an Investment Compliance Officer to join its APAC Investment Compliance team. Based in Japan and reporting to the Regional Investment Compliance Director in Hong Kong, this role offers the opportunity to work in a highly international environment supporting investment activities across the APAC region.

The position focuses on Investment Compliance rather than Advisory Compliance and provides exposure to a broad range of investment strategies across multiple asset classes. You will work closely with investment professionals, trading teams, and global compliance colleagues to help ensure investment activities comply with regulatory requirements, client mandates, and internal investment restrictions.

About the Role

As a member of the regional Investment Compliance team, you will be responsible for monitoring investment compliance activities across APAC, including Japan and Australia. You will collaborate with regional and global stakeholders to support investment monitoring, investigate compliance exceptions, maintain investment rules, and contribute to process improvements.

The role requires close interaction with investment, trading, legal, product, technology, operations, and compliance teams across multiple time zones. Strong English communication skills are essential, as is the ability to build relationships with both regional and local stakeholders.

Responsibilities

• Monitor pre-trade and post-trade investment compliance activities to ensure adherence to regulatory requirements, client mandates, and internal investment restrictions.
• Review and investigate compliance alerts and exceptions, performing root cause analysis and maintaining appropriate documentation.
• Analyse investment guidelines, client mandates, and regulatory requirements to interpret investment restrictions.
• Support the implementation, testing, and ongoing maintenance of investment compliance rules.
• Work closely with investment, trading, operations, and global compliance teams to resolve compliance-related issues in a timely manner.
• Maintain accurate records of compliance investigations, monitoring outcomes, and decision-making processes.
• Respond to compliance-related enquiries from internal stakeholders across the business.
• Identify opportunities to improve monitoring processes, data quality, and operational efficiency.
• Participate in regulatory change initiatives, audit support, and other compliance-related projects.
• Collaborate with regional and global teams to ensure a consistent investment compliance framework across APAC.

Requirements

• 2–4+ years of experience in Investment Compliance, Compliance Monitoring, Audit, Assurance, or a similar control function within asset management or another regulated financial institution.
• Experience in investment compliance monitoring is highly preferred.
• Good understanding of investment management processes, portfolio construction, trading activities, and investment restrictions.
• Experience working closely with investment professionals and trading teams.
• Knowledge of investment products, regulatory requirements, and investment strategies across APAC markets.
• Familiarity with investment compliance monitoring platforms or order management systems is advantageous.
• Business-level English is essential for daily communication with regional and global teams.
• Business-level Japanese is required to support local investment teams and domestic stakeholders.
• Strong analytical skills, attention to detail, and sound judgement.
• Ability to work independently while collaborating effectively within a global team environment.

Why Apply

This is an excellent opportunity to join a highly regarded global investment organisation in a regional Investment Compliance role with significant international exposure.

You will become part of the APAC Investment Compliance team, working closely with colleagues across Asia, Europe, and the Americas while supporting a diverse range of investment strategies. The role offers broad visibility across investment, trading, legal, operations, and technology functions, providing excellent opportunities to deepen your technical expertise and expand your regional experience.

If you are looking to further develop your Investment Compliance career within a collaborative, global environment, this role offers both long-term career growth and meaningful exposure to cross-border investment activities.