Compliance Specialist-Japan, State Street Global Advisors, Assistant Vice President

Job Description

Who we are looking for

The Compliance Specialist in Japan will provide compliance advisory support as the second line of defense to the Japan office of State Street Global Advisors. The individual will be reporting to the Head of Compliance in Japan and be responsible to support the local compliance function which includes providing compliance advice to local management, assessment of applicable compliance risks, review of marketing materials, participation in new business and product launches, monitoring regulatory developments, acting as a liaison with local regulators as well as monitoring key compliance risks with timely escalation on material matters.

Why this role is important to us

The team you will be joining is a part of State Street Global Advisors, one of the biggest asset managers in the world which provides services to governments, institutions and financial advisors across the globe. With over four decades of experience and trillions of dollars in assets under management, we offer one of the broadest selections of services across asset classes, risk profiles, regions and styles. As pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest. As the asset management market continues to grow in Japan, Japan has been identified as a growth area for SSGA. Join us if making your mark in the asset management industry from day one is a challenge you are up for.

What you will be responsible for

As a Compliance Specialist in Japan, you will be responsible to

• Participate in new business or financial product launches to provide compliance advice and conduct suitability reviews
• Educating compliance and business personnel on applicable compliance-related rules and regulations
• Escalate compliance issues or concerns to the attention of senior management
• Review marketing materials and refine the process based on a risk-based approach
• Provide ongoing compliance advisory and licensing support to local senior management and business teams
• Support key projects from the initiation and planning stages through execution and completion
• Interacting with regulatory agencies and internal / external legal staff on regulatory exams and inquiries
• Assess compliance risks and keep abreast of and prepare the local office for regulatory developments and also monitor relevant regulatory findings, reprimands, notices and guidelines by the regulators where appropriate
• Act as a liaison with local regulators
• Review / prepare regulatory filings on behalf of SSGA Japan
• Support local Head of Compliance on continuous enhancement of SSGA’s compliance monitoring program and risk assessment
• Assist to prepare annual and periodic compliance program reports / reviews to satisfy clients, regulators, and internal management requirements, where applicable
• Developing, implementing, and administering compliance policies and procedures

What we value

These skills will help you succeed in this role

Education & Preferred Qualifications