Compliance Officer Vice President

Job Description

About the Role

This is an unique and exciting opportunity to be part of an organization which is leading the way in the alternative private market space.. iCapital is in the process of applying to the Japan FSA for Type I and Type II financial services licenses, and is seeking an experienced compliance professional to join the Global Regulatory and compliance team and lead the application process. The team globally is comprised of approx. 40 professionals, and you will be the first compliance hire in Japan.This critical role will carry responsibility for a variety of regulatory activities both at the firm level and for investment vehicles.  The successful hire will take full responsibility for all regulatory and compliance matters for iCapital’s business in Japan.  iCapital operates through a number of different international entities, many of which are licensed to conduct regulated activities. The successful candidate will partner closely with the business teams to ensure that our Japan office is operating within the letter and the spirit of the regulations.

Responsibilities

• Project manage and lead the firm’s application for a Type I and Type II license from the FSA.
• Define compliance strategy and guidelines to support the firm’s growth in Japan in a sustainable and compliant way.
• Work closely with senior management, colleagues, regulators, and external partners & stakeholders (such as lawyers, regulators, industry bodies and auditors) to anticipate risks to the firm and its clients and mitigate them.
• Develop and implement appropriate controls and monitor in the context of the business model to ensure that iCapital meets its regulatory obligations in Japan
• Act as “Compliance Knowledge Center” within the firm and trusted advisor to Senior Management, providing guidance and training on compliance topics.
• Act as the Japan office’s Anti-Money Laundering Officer and have responsibility for ensuring compliance with best practices relating to onboarding of clients and third party vendors and service providers.

Qualifications

• 5+ years of experience of senior legal, compliance, operations and regulatory experience with a financial entity regulated by the FSA, preferably a global company.
• Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth firm.
• In-depth knowledge of cross-border regulations.
• Mother tongue / native-level Japanese, as well as fluency in English for collaboration with head office and external, international stakeholders and suppliers.
• Strong communication skills, collaborative, proactive and positive growth mindset.

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office 4 days a week with the flexibility to work remotely 1 day.

For additional information on iCapital, please visit https://www.icapital.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/