Senior Compliance Officer & Legal Counsel

Level: VP

Client: U.S. based Hedge Fund

Location: Tokyo

The Role:

We are seeking an exceptionally talented individual to join our Tokyo office as a senior compliance officer and legal counsel. You will have the opportunity to work alongside our General Counsel and our Director of Compliance, Asia to address various legal and compliance issues with respect to the organisation, our funds, affiliates, portfolio managers and employees. This is a dynamic opportunity to work with local and global management as we build our presence in Japan.

What You’ll Bring:

What you need:

• Minimum of ten years of compliance experience preferably with an alternative investment firm or hedge fund.

• Minimum of seven years of relevant experience with a law firm and/or as in-house counsel.

• J.D. or equivalent.

• Native in Japanese and fluent in English.

• Deep knowledge of Financial Instruments and Exchange Law and FSA regulation.

• Strong knowledge in equities trading and hedge fund strategies.

• Superior legal analytical and drafting skills,

• Highly organised, strong attention to detail with the ability to prioritise and handle multiple projects.

• Ability to work both independently and collaboratively in a demanding, fast-paced and fluid environment.

• Ability to establish and maintain positive working relationships with a diverse team of professionals at all levels.


We’d love if you had:

• Experience in preparing and processing a FIBO application and registration.

• Experience in dealing with local regulatory bodies, such as FSA.

• Experience in monitoring compliance for trading operations in the Tokyo market.


Our Culture:

The firm’s ethos is embedded in our people. ‘Talent is our strategy’ is our mantra and drives how we approach all initiatives at the firm. We believe our success is because of our people, so putting our talent above all else is our top priority.

The organisation strives to create an environment where our people can thrive. We foster a teamwork-oriented, collaborative environment where ideas at any level are encouraged and shared. The development and advancement of our talent is honed through interactions with each other, learning & educational offerings, and through opportunities to make impactful contributions.

At the organisation, we strive to cultivate a sense of belonging throughout all of our employees with Diversity, Equity and Inclusion at the forefront of this mission. As a firm we are committed to creating a hiring process which is not only fair, but also welcoming and supportive. On a daily basis, our employee’s welcome diversity across identity, thought, people and views which serves as the foundation of our culture and success.

Who we are:

The organisation is a multi-manager platform that invests its capital with Internal and Partner portfolio managers, primarily on an exclusive or semi-exclusive basis, across quantitative, fundamental equity and tactical trading strategies. We have created a unique structure to provide global portfolio managers with autonomy, flexibility and support to best enable them to maximise the value of their businesses.

Over the last 30 years, the organisation has successfully capitalized on inefficiencies and opportunities within the equity markets. We have developed and invested heavily in proprietary technology, infrastructure and risk analytics. Our portfolio exposure has expanded across the Americas, Europe and Asia as well as multiple asset classes and products.