AFC & Compliance Officer
On-siteTokyo, Tokyo, Japan
Job Summary
Conduct regulatory filing and registration with multiple regulators to ensure accurate and timely management. Monitor regulatory updates across regulator websites and notify relevant departments promptly. Revise local policies and maintain accurate policy documentation in collaboration with the Global Policy Governance team. Support AFC & Compliance training, Investment Guidelines Monitoring activities, and Anti-Money Laundering control processes. Participate in global projects and manage Electronic Communication Surveillance and Control Room operations for Material Non-Public Information. This role supports DWS Japan businesses in adhering to the Financial Instruments and Exchange Act and FSA licensing requirements. The team reports to the President locally and the Head of APAC AFC & Compliance globally.
Required Qualifications
- University or College Graduate
- At least five years of overall working experience in the Japanese financial industry
- Knowledge of the Japanese market
- Regulatory knowledge
- Native Japanese
- Business-level English (both written and verbal)
- Microsoft Word skills
- Microsoft Excel skills
- Microsoft PowerPoint skills
Desired Qualifications
- Relevant qualification such as the JSDA Internal Administrator
- CFA
- CPA
- Regulatory reporting experiences in Compliance
- Experience in Asset Management Operations
- Internal Audit experience
- Risk experience
- Legal experience
- Corporate Secretary experience
- Compliance experience
- Knowledge of the Asset Management business
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.