Senior Compliance Officer

Invesco
Tokyo
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceExperience: 10+ yearsSkills: ["Stakeholder management","Relationship-building","Organizational skills","Attention to detail","Critical thinking"]

Provide regulatory compliance advisory for Invesco’s Japan private markets activities, interpreting and applying relevant laws and supervisory expectations. Serve as primary liaison to regulators and manage regulatory filings, inquiries, inspections, data requests, and remedial actions. Design and monitor compliance programs, policies, and controls in collaboration with APAC teams, oversee governance forums and compliance reporting, and ensure marketing, conflicts, AML/CFT, and training requirements are met.

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FursaFursa
Invesco
Invesco
1 day ago

Senior Compliance Officer

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Job Summary

Provide regulatory compliance advisory for Invesco’s Japan private markets activities, interpreting and applying relevant laws and supervisory expectations. Serve as primary liaison to regulators and manage regulatory filings, inquiries, inspections, data requests, and remedial actions. Design and monitor compliance programs, policies, and controls in collaboration with APAC teams, oversee governance forums and compliance reporting, and ensure marketing, conflicts, AML/CFT, and training requirements are met.
Location: Tokyo
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Provide expert advice on compliance with relevant laws, rules, and regulatory guidelines for Japan business operations.
  • •Oversee regulatory filings, notifications, and interactions with regulators (e.g., FSA, MLIT, Financial Instruments Firms Association), including inspections and remedial action coordination.
  • •Collaborate with APAC Private Markets Compliance to design, implement, and monitor compliance programs, policies, and practices.
  • •Ensure internal policies and controls align with regulatory requirements and maintain compliance manuals, procedures, and internal controls.
  • •Oversee compliance across marketing materials, suitability/appropriateness practices, conflicts of interest/related-party transactions, AML/CFT & sanctions, and deliver compliance training and awareness.

Pay and Benefits

Perks:Paid LeaveHybrid WorkLearning BudgetHealth InsuranceParental LeaveEquity

Key Requirements

  • •10+ years of regulatory compliance advisory experience in financial services/asset management, with 10+ years preferred in alternative investment products (real estate, private credits).
  • •Strong knowledge of Japan regulations and regulatory expectations for alternative investment businesses, with the ability to interpret and apply requirements to business operations.
  • •Primary point-of-contact capability for regulators, including preparing and submitting regulatory filings and managing inspections, inquiries, and data requests.
  • •Strong written and verbal communication skills in English; Korean regulatory knowledge and Korean language are advantageous.
  • •Highly organized, high-integrity, and able to manage multiple projects independently while maintaining attention to detail and handling confidential information.
Experience:10+ yearsFinancial servicesAsset managementAlternative investmentsReal estatePrivate credit
Skills:Stakeholder managementRelationship-buildingOrganizational skillsAttention to detailCritical thinking
Certifications:ARES Certified Master (ACM)Real Estate Transaction Specialist (RETS)
Languages:EnglishKorean

Company Brief

Invesco
Global investment management firm offering mutual funds, ETFs, retirement solutions, and institutional asset management services. Serves individual investors, financial advisors, and institutions across public and alternative markets.
Industry: Asset Management
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Atlanta, United States
Founded: 1935
WebsiteLinkedIn