Introduction

A leading global investment management firm is seeking a Senior Compliance Officer, Japan to support its private markets business in Japan, including real estate and private credit strategies. Reporting to the Head of Compliance, Japan, the successful candidate will play a key role in maintaining a robust regulatory and governance framework across the business.

This is a senior, hands-on compliance position with significant exposure to business stakeholders, senior management, regulators, and regional compliance teams across APAC. The role offers an opportunity to contribute to the continued development and enhancement of the firm's compliance framework in Japan while working closely with regional and global teams.



About the Role

The Senior Compliance Officer will be responsible for providing regulatory and compliance advice to the Japan business and ensuring that business activities are conducted in accordance with applicable Japanese laws, regulations, internal policies, and industry standards.

The position has a dual reporting structure, with a local reporting line to the Head of Compliance, Japan and a regional reporting relationship to the Head of Central Compliance, APAC. This structure provides the opportunity to work closely with both Japan Compliance and the wider APAC Private Markets Compliance function.

The role will also support broader Japan and regional/global compliance initiatives as required.

Responsibilities

• Provide regulatory compliance advice and interpret applicable laws, regulations, and regulatory guidance for business activities.
• Oversee compliance with key Japanese financial services and alternative investment regulations.
• Act as a key point of contact with relevant regulatory authorities and industry associations.
• Prepare and submit regulatory filings, notifications, and periodic reports.
• Coordinate responses to regulatory inquiries, inspections, information requests, and remediation activities.
• Design, implement, monitor, and continuously enhance compliance programs, policies, procedures, and internal controls.
• Work closely with regional and global compliance teams on areas including marketing compliance, AML/CFT, conflicts of interest, regulatory reporting, and ethics.
• Participate in local compliance committees and governance forums and provide compliance reporting to senior management, the Board, and relevant committees.
• Review marketing materials and public communications to ensure they are fair, accurate, balanced, and compliant with applicable regulations.
• Oversee solicitation practices, suitability/appropriateness requirements, and complaint-handling processes.
• Identify and manage conflicts of interest and oversee related-party transactions.
• Support frameworks covering insider information/MNPI, information barriers, personal account dealing, and gifts and entertainment.
• Support AML/CFT and sanctions compliance programs and escalate issues where appropriate.
• Deliver compliance training and promote a strong culture of integrity, ethical conduct, and accountability.
• Lead or support ad-hoc compliance projects and initiatives as required.

Requirements

• 10+ years of regulatory compliance advisory experience within the financial services or asset management industry.
• Strong experience with alternative investments, particularly real estate and/or private credit, is highly preferred.
• Strong knowledge of the Japanese financial services regulatory environment and regulations relevant to alternative investment businesses.
• Strong written and verbal English communication skills.
• Korean regulatory knowledge and Korean language skills would be an advantage.
• Strong stakeholder management and relationship-building skills, with the ability to work effectively with business and technical teams.
• Excellent organizational skills and the ability to independently manage multiple projects through to completion.
• Strong analytical and critical-thinking skills, with the ability to develop practical and appropriate solutions to compliance issues.
• High integrity, strong work ethic, and excellent attention to detail.
• Ability to work independently as well as collaboratively within a regional/global organization.
• Comfortable working in a fast-paced environment and handling confidential and sensitive matters.
• A self-motivated mindset with a genuine interest in identifying opportunities to improve compliance processes and frameworks.
• Experience in training and coaching is a plus.
• Relevant professional qualifications in real estate or investment-related fields would be advantageous.

Why Apply

• Senior-level exposure: Work closely with senior management, business leaders, regulators, and regional/global compliance teams.
• Alternative investments: Gain broad exposure to sophisticated private markets businesses, including real estate and private credit.
• Regional scope: Collaborate extensively with APAC and global compliance functions, providing strong international exposure.
• Strategic impact: Play a key role in developing and continuously improving the Japan compliance framework rather than focusing solely on routine monitoring.
• Broad remit: Cover a wide range of compliance areas including regulatory advisory, governance, marketing compliance, conflicts of interest, AML/CFT, sanctions, and ethics.
• Career development: An excellent opportunity for an experienced compliance professional to further develop their career within a sophisticated global investment management environment.