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Job Description

PRIMARY DUTIES AND RESPONSIBILITIES

• Liaise with regulators in Japan, such as the Financial Services Agency of Japan (JFSA), to ensure compliance with statutory rules & regulations.
• Provide the Regional Head of Compliance, Asia Pacific with support, including the identification of rules, risks and business issues, through periodic compliance governance reports, as well as regular and ad hoc meetings.
• Provide business partners in Japan, and, as required, Korea, with support and advice on compliance related issues, business growth/change initiatives and the execution of firm-wide business transformational initiatives.
• Provide compliance reviews and challenges on the business operations, develop and maintain compliance monitoring programs to ensure compliance with relevant regulations and policies.
• Timely escalate any potential material breach/compliance issue upon identification to Regional Head of Compliance, Asia Pacific and senior management.
• Provide timely update and/or impact analysis to the Regional Head of Compliance, Asia Pacific, senior management and/or corresponding teams on the latest status and/or development of the regulatory changes.
• Member of Japan local risk management committee and other local corporate governance committees which require input / advice from Compliance.
• Oversee the Regulatory Reports including Substantial Shareholders Reports and Short Position Reports.
• Interface with regulatory authorities and manages responses to regulatory requests, inquiries and onsite examinations.
• Timely communicate any key information and issues to relevant team members in Japan to assess any local regulatory implications. Supervise and provide guidance support to the Compliance team in Japan. Ensures team members are fully trained and adequate compliance oversight and resources as the business needs evolve over time.
• Develop team learning agility and strengthen team collaboration.
• Work with the Global and Regional Compliance teams, undertake special regional/functional projects.
• Identify and implement continuous improvement opportunities within Compliance that create operational leverage, including through better use of technology, data and analytics.
• Support the implementation of global enterprise risk management framework, including risk and control assessment, incident management and reporting to relevant governance bodies.
• Liaise with Group Internal Audit and APAC Compliance Monitoring to carry out audit and compliance reviews.
• Carry out other duties / ad-hoc projects as instructed by the Regional Head of Compliance, Asia Pacific

POSITION QUALIFICATIONS / KEY COMPETENCIES

• Experience of 15 years or more as a compliance professional focusing on asset management regulatory issues or similar capacity
• Extensive knowledge of legal and regulatory requirements applicable to the asset management industry in Japan. Existing regulatory relationships with the regulators in Japan and relevant Korean market experience will be an advantage.
• Seasoned manager with experience in supervising a team of professionals
• Good knowledge in financial products including alternatives
• Native Japanese, proficiency in written and spoken English
• Excellent communication and interpersonal skills
• Analytical and lateral problem-solving ability
• Able to work independently with minimal supervision and under pressure
• Integrity and excellent work ethics
• Degree in Finance, Accounting, Law or equivalent

Full Time / Part Time

Worker Type

Job Exempt (Yes / No)

Workplace Model

At Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least four days a week, with one day working outside an Invesco office.