||■Oversee and monitor the implementation of compliance, governance and risk management controls in the Tokyo office, which consists of two licensed entities.
■Advise all departments, especially the Tokyo consulting professionals, in relation to asset management and advisory regulations from a Japanese perspective.
■Be the primary point of contact with the Japan FSA and KLFB, other government authorities and external legal counsel.
■Institute best practices by continuously testing the Japanese compliance program and developing it to meet new financial regulations.
■Supervise compliance testing and monitoring in accordance with global and local standards.
■Review customer contracts, engagement letters and statements of work for adherence to law and regulation as well as to internal requirements.
■Support the organization and offering of new financial products (primarily funds) and services.
■Liaise with the firm’s international legal and compliance team and assist in implementing global initiatives.
■Preparation, submission and maintenance of regulatory filings.