Compliance Advisor - Japan Based

M&G Investments

We are not your average financial services firm and our unique culture is just one aspect that makes us stand out from the crowd. We offer a supportive environment that encourages innovation and creativity whilst maintaining a healthy lifestyle balance. You will be joining one of Europe's leading Investment Management firms where you can expect real responsibility and recognition from day one. We are large enough to offer a wide variety of career opportunities, whilst small enough to treat you as an individual and tailor training and development to your specific needs.

The Team

The Japan Compliance team has oversight for 2 Japanese regulated entities, M&G Investments Japan (MGIJ) and M&G Real Estate Japan (MGREJ).

The team also has responsibility to ensure compliance of applicable laws and regulations within Japan.

We are looking to add a Compliance Advisor to the team reporting to the Compliance Officer.

Key Responsibilities

As a Compliance Advisor you will report into the Compliance Officer and manage the following tasks:

Legal and Compliance

  • Engagement of the Compliance Monitoring Program on Japan Compliance Manual.
  • Regulatory Reporting to Japan FSA and JIAA.
  • Regular reviews and updates of Japan Policies.
  • Regular arrangement of the Training for Japan officers and employees and also M&G global people for the awareness of Japan local regulations.
  • Ensuring Japan employee to comply with M&G Group policies. (Code of Ethics, Gift & Hospitality, Conflict of interests, etc.).
  • Review of the Marketing Activities ensuring the business activities in Japan and M&G Global people engaged on Japan Marketing guideline.
  • Ensuring Real Estate Advisory business in Japan engaged on Japan FIEA.
  • Oversight of the Outsourcing companies.
  • Monthly Reporting to the relevant business and Compliance.
  • Support of the Global Meeting and Projects.
  • Regular updates of changes on Japanese laws and regulations.
  • Regular updates of the Compliance Plan.
  • Support AML Officer for AML program.
  • Support Privacy Officer for Personal Information Protection law.
  • Support Customer Complaint Officer.

Corporate Secretary

  • Arrangement of Japan Boards, Committees and shareholder's meeting.
  • Filing and documentations on statutory requirements in Japan.
  • Maintaining Seal Authorization and control process

Risk and Audit

  • Arrangement of the Risk Assessment Program on M&G Risk Policy and Japan FIEA.
  • Arrangement of the internal Audit on M&G Audit Program and Japan FIEA.


In order to be successful in this role it is essential that you have an understanding and adherence to Japan FIEA requirements and commitment to the principles of Japan FIEA in order to deliver the best results to customers.

You must have excellent attention to detail and be able to build relationships both internally and externally.

Extensive experience in an Asset Management Company in Japan is needed for this position as is strong demonstrable experience in compliance, legal, or an internal control function.

Experience in Institutional, Real Estate, and/or Alternative is preferred.

M&G is committed to a diverse and inclusive workplace. Our role as an employer is very simple - to provide the right environment for talented people to do their best work, by respecting, understanding and valuing individual differences.

We welcome applications from individuals who have taken an extended career break, and we are willing to consider flexible working arrangements for all of our roles.