Head of Compliance - Global Alternative Investment Firm
Head of Compliance - Japan & Asia Pacific
Overview
A leading global alternative investment platform with over USD 60 billion in assets under management is seeking a Head of Compliance to lead its regulatory build‑out in Japan and oversee compliance across the Asia‑Pacific region.
This is a strategic, first‑hire leadership role in the region, offering significant autonomy, senior stakeholder exposure, and the opportunity to shape the long‑term compliance framework for a growing APAC franchise.
The successful candidate will play a central role in obtaining and maintaining Japanese Type I and Type II Financial Instruments Business licenses, while acting as the senior compliance point of contact for the region.
Key Responsibilities
Japan Regulatory Leadership
- Lead the end‑to‑end regulatory licensing process in Japan, including Type I and Type II registrations with the relevant authorities.
- Act as the primary liaison with Japanese regulators, external counsel, and advisors throughout the licensing and approval process.
- Design and implement a compliant operating model aligned with local regulatory expectations from day one.
APAC Compliance Oversight
- Serve as the senior compliance authority for the Asia‑Pacific region, covering Japan and other key APAC jurisdictions.
- Establish, implement, and maintain regional compliance policies, procedures, and controls consistent with global standards.
- Provide ongoing regulatory advice to investment, business, and operations teams across APAC.
Strategic & Advisory Role
- Partner closely with global Compliance, Legal, Risk, and senior management on regulatory strategy, expansion initiatives, and new business activities in the region.
- Advise on product structuring, distribution activities, and cross‑border regulatory considerations.
- Embed a strong compliance culture while supporting commercial growth.
Build‑Out & Governance
- Lead the future build‑out of the Japan/APAC compliance function, including hiring and mentoring as the platform scales.
- Oversee regulatory reporting, filings, inspections, and internal governance frameworks.
- Identify and proactively manage regulatory risks in a dynamic, multi‑jurisdictional environment.
Candidate Profile
Experience
- Extensive compliance experience within asset management, alternative investments, hedge funds, or institutional financial services.
- Deep, hands‑on knowledge of Japan's Financial Instruments and Exchange Act, with direct experience in Type I and Type II licensing strongly preferred.
- Proven track record of interacting with regulators and managing licensing or regulatory change projects.
Regional Exposure
- Prior responsibility for Japan is essential.
- Broader APAC compliance coverage (or strong familiarity with regional regulatory regimes) is highly advantageous.
Leadership & Mindset
- Comfortable operating as a standalone senior leader while remaining closely aligned with global teams.
- Strategic, pragmatic, and commercially minded.
- Able to work effectively with senior stakeholders in a global environment.
Language
- Business‑level Japanese required.
- Fluent English for global stakeholder interaction.
Why This Role Stands Out
- Senior leadership role within a well‑established global platform managing over USD 60 billion.
- Opportunity to build and shape the Japan and APAC compliance framework from the ground up.
- High visibility with global leadership and strong long‑term career upside.
- Exposure to a sophisticated, multi‑asset alternative investment business.
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