The Opportunity:
The FIJ Compliance Officer reports to the FIJ Chief Compliance Officer. The FIJ Compliance department oversees the Fisher Investments Japan (“FIJ”) Compliance Program and functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The FIJ Compliance Officer helps to ensure that the firm and its employees are in compliance with the rules and regulations of Financial Services Agency (“FSA”), that firm policies and procedures are being followed, and that behavior in the organization meets the firm’s Code of Conduct.
The Day-to-Day:
As directed by the FIJ Chief Compliance Officer:
- Completing daily, quarterly, and ad hoc compliance monitoring tasks, including AML/CTF transaction monitoring, resolving name screening alerts, gift request approvals, etc.
- Resolving simple, general queries including AML/CTF queries from the business
- Reviewing sales and marketing materials, documents and external communication to ensure adherence to applicable statutory rules and regulations.
- Keeping the Incident and Breach Register up-to-date and following up on incidents.
- Assist in ensuring policies are kept up-to-date for any changes in regulation / legislation / process
- Aid with regulatory reporting and filings
- Assist with auditor’s request for information as directed by the FIJ Chief Compliance Officer
- Promote a positive compliance culture and awareness by assisting with the development and roll out of appropriate and tailored training for staff
- Perform ad-hoc compliance tasks as directed by the FIJ Chief Compliance Officer
Your Qualifications:
- Bilingual in Japanese and English in writing and speaking
- Bachelor degree with minimum of 7 years of experience in a Compliance role within a regulated financial services firm (preferably retain business or asset management business)
- Marketing ad/material screening experience (preferably HNW retail marketing ad/materials)
- An AML/CTF background preferred
- Experienced in reading, understanding and summarizing in simple language lengthy regulatory publications
- Ability to educate the first line departments on regulatory matters and to handle challenges from individuals in the business
- Strong attention to detail and ability to work in a fast-paced environment
- Working with a strict deadline
- A working knowledge of the general regulatory framework for Japanese financial services licensees preferred
- An understanding of discretionary portfolio management, asset management, financial advice and regulatory requirements in Japan preferred
- PC skill: Microsoft Excel/Word/Power point
This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. Other duties, responsibilities and activities may change or be assigned at any time with or without notice.
Why Fisher Investments Japan:
At Fisher Investments, we work for a bigger purpose: bettering the investment universe. From unmatched service to unique perspectives on investing, it's the people that make the Fisher purpose possible. And we invest in them by offering exceptional benefits like:
- 100% coverage of your monthly medical, dental and vision premiums for you and your eligible dependents through Allianz Care
- Full refunds on physician fees, prescriptions, testing and more to cover costs outside of national insurance
- 24/7 access to emotional wellness resources for you and your dependents (Ginger emotional coaches and Allianz Employee Assistance Programme)
- Travel support benefits through Allianz and Bupa
- This is an in-office role. Based on your role, tenure, and performance eligibility you may have the opportunity to participate in our hybrid work from home program. This program is subject to change.
FISHER INVESTMENTS JAPAN IS AN EQUAL OPPORTUNITY EMPLOYER
