The individual will report to the Managing Director & Chief Compliance Officer, and is expected to assist the Chief Compliance Officer in managing processes, procedures, monitoring and documentation in order to meet regulatory obligations applicable to Company as well as its products and services. 

• Review marketing materials including presentations, prospectuses and RFP’s in both English and Japanese
• Review contracts and agreements – e.g., trust deeds and investment management agreements  in both English and Japanese
• Implement policies and procedures, monitoring, review and reporting on a regular and ad hoc basis
• Conduct compliance training
• Assist with specific Compliance projects and goals as required

Required Qualifications and Skills

• At least 5 years of business experience in finance industry, and at least 3 years compliance (and/or legal) experience within asset management or broker/dealer industry (or, other securities related business)
• Knowledge and expertise of legislations, regulations and industry rules relating to asset management and/or broker/dealer business
• Good knowledge of securities
• Experience in dealing with off shore funds is preferable
• Very strong and effective language skills in both Japanese and English – written and verbal.  Must be able to handle meetings/conference calls in English
• Articulate, effective communication skills within the organization (locally and globally) and with external parties
• Strong organizational and problem solving skills
• Computer skills, including Microsoft products (Excel, Word)