Manager, Regulatory Compliance

Job Description


The successful applicant will possess strong knowledge of the rules and regulations applicable to the Japanese financial industry, experience with dealing with Japanese financial regulators such as the JFSA, KFB, SESC and JSDA and good client facing skills.


  • Assist with providing ongoing regulatory compliance support to our client base in Japan.
  • Handl regular compliance meetings with clients and deliver compliance reports to clients in a timely manner.
  • Maintain client records in the system in a timely manner.
  • Handle client compliance enquiries and provide responses in a timely manner.
  • Draft compliance manuals, policies and procedures.
  • Review regulatory returns and forms and compliance checklists prepared by junior staff.
  • Be a subject matter expert and main point of contact to clients, providing support and guidance on Japanese regulatory compliance matters.
  • Training of new joiners and technical training to other colleagues on Japanese regulatory compliance issues.
  • Implementing and driving efficiency within the team, supervising tasks performed by team members.
  • Perform any ad hoc tasks as instructed by the Managing Director as required.


Essential Criteria:

  • Bachelor’s degree in Law, Accounting, Finance, or equivalent fields
  • At least 5-7 years’ experience in regulatory compliance or internal audit in Japan in financial institutions or regulated fund managers.
  • Strong MS Office skills.
  • Japanese language skills in oral and written communications
  • English language skills (business conversational, with strong written communication skills)

Desired Criteria:

  • Experience in client facing roles would be an advantage.
  • Proficiency in English written and verbal communication.

Key competencies:

  • Familiar with major regulatory issues such as anti-money laundering, insider dealing, market abuse and financial crime
  • Familiar with the Japanese regulatory system particularly investment management.
  • Good communication skills.
  • Holistic understanding of Japanese regulators' policy objectives and ability to project them to specific applications
  • Strong analytical skills with excellent attention to detail
  • Sound judgement and initiative
  • Ability to provide solutions and handle complex regulatory compliance related issues
  • Results oriented and ability to multitask

Additional information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

Company description

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

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