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About the Role

The AFC & Compliance Officer will support DWS Japan businesses in conducting their business in full compliance with Japanese laws, regulations, and DWS Group policies, while maintaining necessary licenses. This role involves business advisory, regulatory filing, training, and surveillance activities.

Responsibilities

• Ensure regulatory filing and registration tasks are managed accurately and in a timely manner.
• Monitor regulatory updates and notify relevant departments.
• Revise and maintain local policies in coordination with the Global Policy Governance team.
• Support AFC & Compliance training initiatives.
• Assist with Investment Guidelines Monitoring and AFC-related control activities.
• Participate in global projects.
• Support other AFC & Compliance activities based on background, interests, and career objectives.

Requirements

• University or College Graduate.
• At least five years of overall working experience in the Japanese financial industry.
• Knowledge of the Japanese market and regulatory knowledge is essential.
• Microsoft Word/Excel/PowerPoint skills are essential.
• Native Japanese and Business-level English (both written and verbal).

Skills

• JSDA Internal Administrator (preferred)
• CFA (preferred)
• CPA (preferred)
• Regulatory reporting experience in Compliance (preferred)
• Experience in Asset Management Operations (preferred)
• Experience in Internal Audit (preferred)
• Experience in Risk (preferred)
• Experience in Legal (preferred)
• Experience in Corporate Secretary (preferred)
• Experience in Compliance (preferred)
• Knowledge of the Asset Management business (preferred)

Location

• Tokyo

Work Type

• Hybrid working model

Experience Level

• AVP
• At least five years of overall working experience

Education Level

• University or College Graduate

Benefits

• Hybrid working model, allowing for in-office / work from home flexibility
• Comprehensive leave policy
• Personal and volunteer days
• Competitive compensation packages
• Health and wellbeing benefits
• Access to best in class trainings
• In role development
• Career progression opportunities

About the Company

• DWS Group is an industry-leading firm with a global presence, focused on innovating, investing responsibly, and making a positive change.
• The company aims to provide investment solutions and ensure the best possible foundation for clients' financial future.
• DWS Japan AFC & Compliance is responsible for supporting DWS Japan businesses in conducting their business in full compliance with Japanese laws, regulations, and DWS Group policies.
• The team covers business advisory, regulatory filing and registration, regulatory relationship management, AFC & Compliance training, compliance policy maintenance, regulatory adherence processes, electronic communication surveillance, control room management, oversight of investment guideline monitoring, and AFC advisory and control activities.

Equal Opportunity

• DWS is committed to creating a diverse and inclusive workplace, one that embraces dialogue and diverse views, and treats everyone fairly to drive a high-performance culture.
• The value created for clients and investors is based on the ability to bring together various perspectives from all over the world and from different backgrounds.
• Teams perform better and deliver improved outcomes when they are able to incorporate a wide range of perspectives.