Compliance Officer - Tokyo
Ardian is a world-leading private investment house, managing or advising $140bn of assets on behalf of more than 1,400 clients globally.
Our broad expertise, spanning Private Equity, Real Assets and Credit, enables us to offer a wide range of investment opportunities and respond flexibly to our clients’ differing needs. Through Ardian Customized Solutions we create bespoke portfolios that allow institutional clients to specify the precise mix of assets they require and to gain access to funds managed by leading third-party sponsors. Private Wealth Solutions offers dedicated services and access solutions for private banks, family offices and private institutional investors worldwide. Ardian is majority-owned by its employees and places great emphasis on developing its people and fostering a collaborative culture based on collective intelligence.
Our 1,000+ employees, spread across 16 offices in Europe, the Americas, Asia and Middle East are strongly committed to the principles of Responsible Investment and are determined to make finance a force for good in society. Our goal is to deliver excellent investment performance combined with high ethical standards and social responsibility.
At Ardian we invest all of ourselves in building companies that last.
The compliance officer, based in Ardian’s Tokyo Office, will report locally to the Head of Ardian Japan and functionally to the Head of Global Compliance.
The candidate will be responsible for all compliance matters of Ardian Japan as a Type II Financial Instruments Business Operator and Investment Advisory and Agency Business Operator. This includes implementing the control system and creating the relevant policies and procedures as they relate to the regulated activity of the office. They will be expected to assess and analyze regulatory topics and be part of the team that provides solutions.
The candidate will also work alongside Ardian’s global compliance team of more than 20 on a variety of global topics and initiatives. The candidate will be exposed to a range of both local and global regulations and is expected to have an ambition for understanding and interpreting complex topics.
He / She will be responsible for the following matters:
- Serve as the appointed compliance officer of Ardian Japan
- Maintain the regulatory license of Ardian Japan: (i) regulatory reporting and filing, (ii) regulatory liaison and (iii) leading audits with the regulator
- Maintain the membership of Ardian Japan in the relevant industrial associations (I.e. Type II Financial Instruments Firms Association) including the required reporting and filing
- Prepare and assist with the creation of compliance reports that will be provided to senior management and the Board of Directors on a periodic basis
- Monitor local compliance laws and regulations and develop and maintain regulatory horizon trackers
- Develop, implement and update compliance policies and procedures in order to meet regulatory requirements
- Interpret and translate regulations and policies in Japanese and English and communicate them internally to relevant stakeholders
- Provide guidance to ensure that business activities are in line with the necessary regulation
- Manage the entire suite of the compliance monitoring program including review and testing, AML/KYC, employee monitoring, etc.
- Assist in the application of Specially Permitted Business for Qualified Institutional Investors, etc. including the annual business reports
- Review related documents including contractual documents, advertisements, other statutory documents, etc. to ensure that they are compliant with the regulatory framework (including the rules applicable to solicitation towards ippan-toshika, General Investors)
- Develop and maintain trainings on various regulatory topics and monitoring their effectiveness
- Maintain engagement with regulatory counsel, consultants and fund administrators, etc.
- Work as part of the global compliance team, ensuring that global policies and procedures are met and followed accordingly
- Work with various teams, promoting the development of a compliance culture within Ardian to proactively raise awareness of regulatory topics and developments and their applicability to Ardian Japan and the Ardian Group
- High fluency in both Japanese and English
- Strong attention to detail, analytical and independent thinker and problem solver
- Proactive and organised with an ability to work concurrently on multiple work streams
- Good working knowledge of Japanese regulations such as the Financial Instruments and Exchange Act, Act on Provision of Financial Service, Prevention of Transfer of Criminal Proceeds Act, Act on Protection of Personal Information, etc.
- Must be a team player, able to communicate well within the team and to other teams
- Strong educational background with a university degree
- Law degree is preferable but not mandatory
- Intermediate level of Excel knowledge
- Experience at a Japanese Type II Financial Instruments Business Operator is preferred but not mandatory
- Experience working with a financial regulatory agency is preferred but not mandatory
Equal Employment Opportunity Policy
At ARDIAN, we are proud of our diverse culture. As a forward thinking organization, we recognize that having people from different backgrounds brings innovation and excellence. Therefore, a diverse and inclusive environment is key to our business success.
Ardian is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran or military status, genetic information, ancestry, marital status as a victim of domestic violence, pregnancy or child birth (including breastfeeding) or any other class protected by federal, state or local laws. It is our policy to comply with all applicable laws governing employment practices and not to discriminate on the basis of any unlawful criteria. This policy applies to all terms and conditions of your employment including, but not limited to, hiring, placement and promotion.
- Employment type
Compliance Officer - Tokyo
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