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About the Role

This role serves as a key local responsible Compliance Officer for T. Rowe Price Japan, Inc. (“TRPJ”), collaborating with APAC and Global Compliance Teams to implement key compliance program components, including Compliance Monitoring and Testing.

Responsibilities

Manage regulatory interactions for ITM, DIM, Non-discretionary Advisory, and Type II Financial Instruments Business in Japan.
Maintain regulatory licenses and the Method of Conducting Business Statement.
Liaise with regulators, respond to inquiries, and manage regulatory record-keeping and filings.
Oversee regulatory inspection visits.
Develop, enhance, and lead compliance procedures for TRPJ business.
Monitor and assess compliance with the TRPJ Compliance Manual, identifying areas for improvement.
Stay updated on regulatory developments and implement necessary business changes, including training.
Provide consultative compliance support to Tokyo-based associates and wider group.
Act as the primary contact for Japanese regulatory matters.
Deliver regulatory training to Tokyo-based associates.
Bridge communication between Japanese corporate practices and T. Rowe Price.
Conduct compliance risk assessments and provide actionable recommendations.
Review, analyze, and approve marketing materials for Japan to ensure regulatory compliance.
Provide regulatory compliant solutions for identified issues in marketing materials.
Collaborate with the APAC Compliance Monitoring and Testing team for Japan-specific activities.
Coordinate with Product Development/Sales/Investments and Investment Compliance Team for rule interpretation and system coding.
Assist with monitoring as required.

Requirements

College degree and a minimum of 5 years related work experience.
Thorough understanding of the Financial Instruments Exchange Law and the Investment Trust Law.
Knowledge of corporate law, pension law, and rules of the Investment Management Association of Japan.
Solid knowledge of the investment management industry.
Good product knowledge of ITM products and DIM account strategies.
Project management capabilities.
Excellent interpersonal and influencing skills.
Articulate and effective communicator, able to present complex concepts clearly.
Good verbal and written English.
Collaborative team player with the ability to influence stakeholders and build strong relationships.
Ability to work without day-to-day supervision.
Analytical skills allied with creative thinking.
Ability to handle heavy workload under tight timeframes and prioritize appropriately.
Able to work under pressure and produce results without close supervision.
Client-oriented mind-set.
Audit mindset to detect and escalate potential non-compliance issues and suggest corrective actions.
Solid attention to detail.
Strong problem-solving, analytical, project management, organization, coordination, and critical thinking skills.

Skills

Financial Instruments Exchange Law
Investment Trust Law
Corporate law
Pension law
Investment Management Association of Japan rules
Investment management industry knowledge
ITM products knowledge
DIM account strategies knowledge
Project management
Interpersonal skills
Influencing skills
Communication
Presentation skills
English proficiency (verbal and written)
Teamwork
Stakeholder management
Relationship building
Analytical skills
Creative thinking
Time management
Prioritization
Working under pressure
Client focus
Audit mindset
Problem-solving
Organization
Coordination
Critical thinking
PowerBI
Tableau
SmartSheets
AI technologies understanding
Digital transformation understanding
Emerging technology understanding
Private equity knowledge
Alternative products knowledge

Location

Japan

Work Type

Full-time

Experience Level

5+ years related work experience

Education Level

College degree

Benefits

Resources to support career path
Compensation
Benefits
Flexibility

About the Company

T. Rowe Price is a premier global asset management organization with over 85 years of experience.
They provide investment solutions and capabilities to individuals, advisors, institutions, and retirement plan sponsors.
The firm takes an active, independent approach to investing, offering a dynamic perspective and meaningful partnership.
T. Rowe Price believes in doing the right thing for clients and associates.
They offer opportunities to create real impact at work and in the community.
The company fosters a collaborative culture that respects and values differences.
Associates share a spirit of generosity.

Equal Opportunity

T. Rowe Price's associates are their greatest asset.
The company culture is built on inclusion, sustaining a work environment where associates can bring their best selves to work.
The backgrounds, talents, and experiences of global associates enable embracing new ideas and perspectives.
Associates can expect equal opportunity and fair and consistent treatment.
T. Rowe Price is an equal opportunity employer and values diversity of thought, gender, and race.
Continued success depends upon the equal treatment of all associates and applicants without discrimination based on race, religion, creed, colour, national origin, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law.