Introduction

Our client is an independent asset management firm specializing in alternative investments, primarily within the real estate sector. The firm provides tailored investment solutions to overseas institutional investors and family offices seeking exposure to the Japanese market. Leveraging a strong local network, the firm works closely across acquisition, legal, and finance functions to source, structure, and manage investment opportunities.

Due to the upcoming retirement of the current Compliance Officer, the firm is looking to appoint a successor to take ownership of compliance and related governance functions.

About the Role

This is a senior, hands-on Compliance Officer position covering regulatory compliance, governance, internal controls, and selected administrative support functions. The role is well-suited to someone who is comfortable operating in a small, collaborative organization and acting as the key compliance authority across the business.

Responsibilities

• Manage registration, renewal, and ongoing maintenance of relevant financial and real estate-related licenses
• Serve as the main point of contact for regulatory authorities and industry associations
• Prepare and submit regulatory filings, business reports, and change notifications
• Draft, update, and maintain internal policies and compliance-related rules
• Act as secretariat for the Board of Directors, Shareholders’ Meetings, Compliance Committee, and Investment Committee (including meeting coordination and minutes)
• Develop and manage the compliance program, track progress, and report to senior management
• Prepare and manage statutory books and records
• Conduct KYC/AML checks and maintain related documentation
• Ensure compliance with personal data protection regulations
• Create and deliver internal compliance training materials
• Review various legal agreements related to investment management and transactions
• Oversee document management, including contracts and statutory documents
• Manage and update compliance-related website content
• Conduct advertising and marketing material reviews
• Support internal audits (experience preferred)
• Provide general administrative and operational support as required

Requirements

• Solid experience in compliance within asset management, financial services, or related regulated industries
• Experience with investment management and/or financial instruments compliance strongly preferred
• Licensed Real Estate Transaction Agent qualification is mandatory
• Experience dealing with regulators and industry associations
• Ability to handle confidential information with discretion
• Comfortable working in a small organization with a broad scope of responsibilities
• Business-level English capability preferred
• Internal audit experience is a plus
• Candidates in their 50s are welcome to apply

Why Apply

• Opportunity to take full ownership of the compliance function in a stable, well-established firm
• Flexible working environment, including partial remote work
• Supportive culture with strong understanding of work–life balance, including for parents
• Small, close-knit team with a collaborative and friendly atmosphere
• Competitive total compensation, with flexibility depending on scope of responsibilities
• Stable working hours and comprehensive benefits package