Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Officer M/F

Contract type

Permanent Contract

Expected start date

01/01/2027

Management position

No

Job summary

Responsibilities:

1. Sales & Marketing and Product Compliance

(focusing on whichever of Institutional, Retail, ETF/Index or Alternative Business)

• Review outgoing documents including sales materials, strategy presentation, RFP, fund trust deed, Prospectus, notification letter to investors, etc. to eliminate compliance problems and other inappropriate descriptions in accordance applicable laws, rules, regulations, local industry practice and internal policies.
• Review proposed investment scheme and setup for new mandates / new comingled funds in accordance with applicable laws and provide effective and reasonable advice to business partners.
• Provide necessary instructions and guidance to the staff of the Company for the compliance matters related to interaction and relationship with clients, including unique arrangement on a negotiation basis, handling of complaints.
• Keep updated on local sales, marketing & distribution regime, work with Paris Client Protection and Distribution teams when necessary to update and implement enhanced sales & marketing compliance framework, etc.
• Any other related matters instructed from the manager.

2. Financial Security

• Deal with compliance alerts on AML/PEP generated by group screening tool, Fircosoft and other systems. Deal with AML/CFT/KYC/DD submitted from business partners such as institutional clients, distributors and provide adequate assistance to first line of defense.
• Keep updated on local sales and global AML/CFT regime, work with Paris Financial Security team when necessary to update and implement enhanced AML/CFT framework, etc.
• Any other related matters instructed from the manager.

3. Corporate Compliance (As a back-up)

• Prepare and file reports, questionnaires and other documents and data requested by the regulatory authorities as well as the industry associations (FSA, KLFB, IMAJ, JSDA, T2FIFA)
• Monitor employees' personal trading, gift and entertainment records, outside business activities and other Code of Ethics related matters.
• Prepare the report on local compliance activities to periodical local compliance committee and Amundi Group Compliance Business Line.
• Keep updated on new laws, rules and regulations as well as implementing global policies, and establishing and maintaining local policies and procedures.
• Provide basic compliance training for new joiners.
• Any other related matters instructed from the manager.

Supplementary Information

Candidate should hold a Japan working Visa or have no restrictions on working in Japan

Position location

Geographical area

Asia, Japan

City

Tokyo

Remote work

hybrid

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

None

Level of minimal experience

6-10 years

Experience

Experience and other requirements:

• 10+ years' experience in the internal control field (compliance, legal, risk management or audit) preferable
• Strong interpersonal and communication skills
• Bachelor's Degree
• Proficiency in English required
• You are a person of
  • Integrity and honesty
  • High professional ethical standard
  • Diligence
  • Team worker and respect for others
  • Professional ambition to build a better future for our external and internal clients

Required skills

Experience and other requirements:

• 10+ years' experience in the internal control field (compliance, legal, risk management or audit) preferable
• Strong interpersonal and communication skill
• Bachelor's Degree
• Proficiency in English required
• You are a person ofIntegrity and honesty
  • High professional ethical standard
  • Diligence
  • Team worker and respect for others
  • Professional ambition to build a better future for our external and internal clients

Technical skills required

At least, MS Office tools (Excel, Word, Outlook, Power Point) as we use multiple internal and external applications for our daily BAUs.

Languages

Business English and native in Japanese