Compliance Officer - Vice President

ed activities. The successful candidate will partner closely with the business teams to ensure that our Japan office is operating within the letter and the spirit of the regulations.

Responsibilities

• Project manage and lead the firm's application for a Type I and Type II license from the FSA.
• Define compliance strategy and guidelines to support the firm's growth in Japan in a sustainable and compliant way.
• Work closely with senior management, colleagues, regulators, and external partners & stakeholders (such as lawyers, regulators, industry bodies and auditors) to anticipate risks to the firm and its clients and mitigate them.
• Develop and implement appropriate controls and monitor in the context of the business model to ensure that iCapital meets its regulatory obligations in Japan
• Act as "Compliance Knowledge Center" within the firm and trusted advisor to Senior Management, providing guidance and training on compliance topics.
• Act as the Japan office's Anti-Money Laundering Officer and have responsibility for ensuring compliance with best practices relating to onboarding of clients and third party vendors and service providers.

Qualifications

• 5+ years of experience of senior legal, compliance, operations and regulatory experience with a financial entity regulated by the FSA, preferably a global company.
• Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth firm.
• In-depth knowledge of cross-border regulations.
• Mother tongue / native-level Japanese, as well as fluency in English for collaboration with head office and external, international stakeholders and suppliers.
• Strong communication skills, collaborative, proactive and positive growth mindset.

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office 4 days a week with the flexibility to work remotely 1 day.

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