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About the Role

Shape how a leading asset manager meets evolving regulatory expectations in Japan through practical guidance, strong risk oversight, and clear partnership with the business. You’ll work across products, distribution, and investment teams to turn rules into workable controls and trusted advice. We’ll support your growth with exposure to complex regulatory matters and regional initiatives. If you enjoy problem-solving, influencing outcomes, and raising standards, you’ll thrive here.

Responsibilities

Coordinate regulatory engagements, analyze regulatory developments, and consolidate feedback.
Provide second line of defense oversight and challenge of business processes and controls related to Compliance risks.
Facilitate the preparation and delivery of relevant compliance trainings.
Provide oversight and guidance on mutual funds business compliance matters and initiatives.
Stay updated on regulatory matters related to products and liaise with counterparties for regulatory reporting.
Perform licensing registration and associated filings, and advise on personnel licensing requirements.
Participate in regional coordination of ad-hoc compliance projects.
Support other team coverage areas including sales, distribution, investment, trading, employee compliance, client service, fiduciary/advisor obligations, and the Asset Management Compliance Program.

Requirements

Bachelor’s degree in Law, Business, Finance and / or related fields.
10+ years of work experience in Compliance, Operational Risk, Audit or Business Control Functions of an Asset Management Company, Bank or Securities firm.
Extensive knowledge of financial regulation and Self-Regulatory Organization rules relevant to asset management businesses and products.
Experience in dealing with regulatory exams.
Possess Japan Securities Dealers Association Internal Administrator Qualification (Naibu Kanri Sekinis-sha).
Japanese and English Proficiency.
Good communication skills, detail-oriented, organized attitude and working manner with teamwork spirit.
Curious, proactive, self-motivated, thoughtful, agile, open to professional growth and new responsibilities.
Superior problem solving and analytical skills, capable to work independently and as a team player.
Ability to deliver as an individual contributor and work cohesively with the team.
Ability to gain partnership with the business and challenge the status quo.

Skills

Compliance
Operational Risk
Audit
Business Control
Financial Regulation
Self-Regulatory Organization rules
Regulatory Exams
Japanese Securities Dealers Association Internal Administrator Qualification
Communication Skills
Detail-oriented
Organization
Teamwork
Problem Solving
Analytical Skills
Partnership Building

Location

Japan

Work Type

Full-time

Experience Level

Vice President
10+ years

Education Level

Bachelor's degree

About the Company

J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors.
Our first-class business in a first-class way approach to serving clients drives everything we do.
We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing.
Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs.
Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.

Equal Opportunity

We are an equal opportunity employer and place a high value on diversity and inclusion at our company.
We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law.
We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs.