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About the Role
As an AFC & Compliance Officer, you will be responsible for Investment Guidelines Monitoring activities and/or AFC related control activities. You will also manage regulatory filing and registration, monitor regulatory updates, revise local policies, conduct training, and participate in global projects.
Responsibilities
- Investment Guidelines Monitoring activities
- AFC related control activities
- Regulatory filing and registration to multiple regulators
- Monitor regulatory updates on the websites of multiple regulators and notify relevant departments
- Revise local policies and maintain local policies
- Conduct AFC & Compliance training
- Take part in global projects
- Support other AFC & Compliance activities
Requirements
- Ability to work independently and proactively is essential
- 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
- Proven ability to leverage AI tools to enhance productivity, optimise workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs
Skills
- JSDA Internal Administrator (preferred)
- Regulatory reporting experiences in Compliance (preferred)
- Asset Management Operations (preferred)
- Internal Audit (preferred)
- Risk (preferred)
- Legal (preferred)
- Corporate Secretary (preferred)
- Compliance (preferred)
- Knowledge of the Asset Management business (preferred)
- Knowledge of Real Estate Business (welcome)
- Native Japanese
- Business-level English (both written and verbal)
Location
- Tokyo
Work Type
- Hybrid working model
Experience Level
- At least five years of overall working experience in the Japanese financial industry
- VP (Corporate Title)
Education Level
- University or College Graduate
Benefits
- 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.
- DWS Japan AFC (Anti-Financial Crime) & Compliance supports DWS Japan businesses in conducting their business in full compliance with Japanese laws and regulations, and DWS Group policies.
- The team covers tasks including Business Advisory, Regulatory Filing and Registration, Regulatory Relationship Management, AFC & Compliance Training, Compliance Policy Maintenance, Regulatory Adherence processes, Electronic Communication Surveillance, Control Room, 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 DWS creates for clients and investors is based on its 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.