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Senior Compliance Officer, Vice President, Japan

BlackRock BlackRock

BlackRock is a global investment firm, trusted to manage more assets than any other.


About this role

Position Description:

  • As a member of the Compliance Department of BlackRock Japan this role will be a significant contributor to the Compliance Team, which is responsible for all compliance matters in the Japan business of BlackRock
  • This is a Senior Compliance officer role and will report to the Head of Compliance, Japan.
  • Support the development and maintenance of a strong compliance culture and assist the business in maintaining sound compliance processes and systems
  • Work within the Compliance team, assisting to undertake complex compliance activities and the oversight and administration of compliance policies and procedures


  • Provide compliance advisory service and guidance to the Japan business with a focus on one or more of the following areas of coverage;
    • Investment Trust, Investment Management, Investment Advisory, ETFs, Alternatives (Real Estate, Infrastructure), Investment Strategies, Marketing Activities, Regulatory Risk and Review, Privacy, Financial Crime, etc.
  • Provide compliance advisory service and guidance to the Japan business in the area of coverage.
  • Design and conduct risk-based compliance monitoring and control on activities in the area of coverage and improve the compliance monitoring steps as appropriate.
  • Actively participate and provide advice to the Japan business and assigned projects.
  • Participate in global and/or regional compliance initiatives and projects as vital and work with the compliance colleagues from other BlackRock offices to ensure global best practice and consistency wherever possible.
  • Liaise with local regulators and handle all relevant regulatory enquiries relating to the area of coverage.
  • Lead the implementation of new laws and regulatory requirements relating to the area of coverage and perform assessment of the implications.
  • Proactively identify current regulatory gaps/ compliance weaknesses and propose rectification measures.
  • To provide compliance training to BLK employees in the area of coverage.
  • Liaise with other departments, including internal audit and, whenever necessary, external auditors to ensure compliance in all aspects in the area of coverage.
  • Reports to Regional and Group Compliance function as required.
  • Responsible for reviewing sales and marketing materials, and product documents produced by the area of coverage to ensure that all these documents follow the applicable regulatory requirements and internal standards.

Experience, Skills & Knowledge Required:

  • University degree in Finance/Accounting/Law/Business/Economics with recognized professional qualifications preferred.
  • At least 8 years relevant working experience at asset management companies or other financial institutions. Experience and understanding of Exchange Traded Funds (ETF’s) highly regarded, but not required.
  • Good understanding of the regulatory environment in Japan.
  • Native level of Japanese and Business level of English (read/write/speak)
  • Confidence and ability to communicate effectively at all levels within the global teams and with external parties, regulators, consultants and clients
  • Excellent communication and business partnership skills
  • Collaborative team player, ability to work on team projects
  • Ability to lead projects with minimal direction
  • Passing JSDA qualification of Sales Representatives/Internal Administrator is preferable
  • Proven ability to identify and resolve issues and ability to think laterally and strategically
  • People management skills – influencing and leadership skills
  • Passion to deliver high quality performance to internal and external clients
  • Proactive, innovative and flexible work demeanor
  • Self-motivation to empower oneself and others
  • Excellent time management and organizational skills.

Our benefits

To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.

About BlackRock

At BlackRock, we are all connected by one mission: to help more and more people experience financial well-being. Our clients, and the people they serve, are saving for retirement, paying for their children’s educations, buying homes and starting businesses. Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress.

This mission would not be possible without our smartest investment – the one we make in our employees. It’s why we’re dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive.

For additional information on BlackRock, please visit careers.blackrock.com | www.blackrock.com/corporate | Instagram: @blackrock | Twitter: @blackrock | LinkedIn: www.linkedin.com/company/blackrock

BlackRock is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.

BlackRock will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law.

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Senior Compliance Officer, Vice President, Japan

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BlackRock is a global investment firm, trusted to manage more assets than any other.

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