Compliance Manager

Job title : Compliance Manager
Job type : Permanent
Discipline Finance & Accounting
Salary : 12,000,000 - 15,000,000
Contact : Simon Jelfs
Call : Simon
Email : email Simon
Reference : JOB_006359[864]

Global boutique financial services organization growing rapidly in Asia seeks Compliance Officer to join their Japan business.

You will:

  • Establish and maintain internal control procedures to protect the Firm against involvement in money laundering and terrorist financing. Conduct new client onboarding AML/KYC reviews in accordance with AMLO requirements and Group Directives.
  • Write / amend / update internal policies and procedures and provide advice regarding compliance implications arising from strategic and regulatory directives 
  • Participate in ad-hoc project work as determined by the Head of Compliance and Local Business Head and prepare periodic compliance reporting to regional and Head Office
  • Ongoing monitoring and reviews include:

o   KYC and AML review on pre-existing clients

o   Account Documentation update

o   Transaction monitoring and STR reporting

o   Periodic Review / Client Annual Review Process

o   Regulatory and Industry Watch

o   Market Abuse and Insider Dealing surveillance

  • Perform general compliance initiatives including:

o   Regulatory filings with the KLFB.

o   Conduct and maintain register of compliance induction and CPT training

Liaise with local regulator, internal auditor and external auditor and respond to their queries

You have:

  • 8 to 10 years of experience in a similar position
  • Knowledge of Trust Business Act and FIEA and the experience of trust banks, trust company, investment management company is appreciated.
  • Experience of delivering the comprehensive explanation and discussion on compliance matters in English
  • Excellent communication skills with different stakeholders, team player and details oriented
  • Native Japanese and fluent in English, any other language an asset