JPMorgan Chase GIM Compliance - Compliance Officer - Vice President - Japan in Tokyo, Japan

Position: Compliance Officer – GIM Japan Compliance

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.4 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. J.P. Morgan is a leader in asset management, investment banking, private banking, treasury and securities services, and commercial banking. Today, the firm serves one of the largest client franchises in the world, including corporations, institutional investors, hedge funds, governments and affluent individuals.

J.P. Morgan Asset Management is a leading asset manager for individuals, advisors and institutions. Our investment professionals are located around the world providing strategies that span the full spectrum of asset classes.

In Japan, the asset management business is conducted via JPMorgan Asset Management (Japan) Limited. The firm provides an extensive range of products and services to institutional investors, pension funds, as well as to individual investors distributed by third party banks and securities houses. We provide finely-tuned sales support to such distribution partner companies. The firm offers investment products with a full spectrum of asset classes, including equities and fixed income, as well as alternative assets such as hedge funds, real estate, and private equity. The firm opened a branch office in Osaka in 2007, followed by branches in Fukuoka and Nagoya in 2010. As one of the few foreign affiliated asset managers with operations outside of Tokyo, we aim to provide localized and extensive support to our clients across Japan.

A vacancy has arisen within the JPMorgan Asset Management (Japan) Limited. The candidate should have at least 5 years of industry experience and 3 years of Compliance, Internal Control, Audit or Risk experience.

Responsibilities may include:

  • Work with the team in the analysis and implementation of new regulatory requirements and industry developments affecting JPMorgan Asset Management (Japan) Limited and other relevant parties, and ensuring the business is prepared and made aware of these changes;

  • Work with the team, handle compliance advisory matters;

  • Review prospectus, investment performance reports or periodic reports;

  • Conduct Compliance review or testing for Compliance risk areas;

  • Prepare, review and implement compliance related internal policies, procedures and programs;

  • Manage various compliance related administration matters including training attendance control, employees/company registration;

  • Handling of regulators’ periodic or ad-hoc reporting requests;

  • Respond to requests from Global Compliance or Regional Compliance and provide information and report as appropriate;

  • Prepare and participate in regulatory inspections


  • Bachelor's Degree

  • Financial product knowledge of fixed income, equities, and derivatives

  • Ability to prioritize, multi-task, and effectively manage time in a constantly changing environment

  • Understanding of risk and controls

  • Capacity to quickly learn and apply knowledge of Japanese regulations and asset management business;

  • Excel and MS Office proficient;

  • 5 years industry experience and 3 year Compliance, Internal Control, Audit or Risk experience is preferable;

  • Excellent communication skills (written and verbal) and interpersonal skills both in Japanese and English

  • Ability to work independently as well as in a team environment;

  • Flexible and adaptable to dynamically changing work processes.

Job: *Compliance


Title: GIM Compliance - Compliance Officer - Vice President - Japan

Location: JP-13-Tokyo-Tokyo Building / 31001

Requisition ID: 160112133