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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
Full time
Worker Type
Employee
Job Exempt (Yes / No)
YesWorkplace 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.
Invesco's culture of inclusivity and its commitment to diversity in the workplace are demonstrated through our people practices. We are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, creed, color, religion, sex, gender, gender identity, sexual orientation, marital status, national origin, citizenship status, disability, age, or veteran status. Our equal opportunity employment efforts comply with all applicable local laws governing non-discrimination in employment.
Personal data provided by job applicants will be used strictly in accordance with our personal data policy and for recruitment purposes only. Candidates not notified within twelve weeks may consider their application unsuccessful. All related information will be kept in our file for future recruitment purposes. When there are vacancies in our subsidiary or associate companies, we may transfer the application to them for consideration of employment. Under the Personal Data (Privacy) Ordinance, job applicants have a right to request access to, and to request correction of, Personal Data in relation to the application. If job applicants wish to exercise these rights, they should contact the Human Resources department.
What We Do
intelliflo widens access to financial advice through leading technology which powers the financial advisory experience. We use open software architectures combined with unmatched industry experience to simplify a complex digital landscape to help our customers thrive and grow. Our solutions support over 30,000 financial professionals worldwide, representing over three million end-investors, with over $1 trillion (US) advised across our platforms.
intelliflo operates independently under its own brand as a wholly owned subsidiary of Invesco, a global leader in the asset management industry with $1.6tr AUM. Whilst intelliflo remains independent in operations to Invesco, we draw from its strengths. After bringing together Invesco’s digital advisory solutions under our global intelliflo brand in March 2021, we continue to remain dedicated to powering the entire advisory lifecycle through our range of open architecture solutions, as the global leader in financial advice technology.
Digitization is transforming wealth management. Invesco is committed to creating commercial software that allows advisors, institutions, and investors, to unlock technology-enabled possibilities. intelliflo is a key part of Invesco’s ambition to build the future of wealth management.
