Job Description Summary
For over forty years, HarbourVest has been home to a committed team of professionals with an entrepreneurial spirit and a desire to deliver impactful solutions to our clients and investing partners. As our global firm grows, we continue to add individuals who seek a collaborative, open-door culture that values diversity and innovative thinking.
In our collegial environment that’s marked by low turnover and high energy, you’ll be inspired to grow and thrive. Here, you will be encouraged to build on your strengths and acquire new skills and experiences.
We are committed to fostering an environment of inclusion that promotes mutual respect among all employees. Understanding and valuing these differences optimizes the potential of both the individual and the firm.
HarbourVest is an equal opportunity employer.
Reporting to the Head of Asia Compliance, the Compliance Director, based in Japan, will assist with implementing the Firm’s global compliance program and ensure compliance with the relevant regulatory requirements in Japan. Whilst the key focus of the job function will be Japan compliance/regulatory work, this role will also have a regional coverage.
The ideal candidate is someone who is:
Knowledgeable of the securities laws, rules, and regulations in Japan, especially as they relate to Type II license holders, and the marketing and distribution of interests in private funds. Familiarity with retail distribution of funds in Japan is beneficial but not required.
Knowledge of other jurisdictional regulatory requirements in Asia Pacific (e.g., Korea, Hong Kong, Singapore, Australia) is beneficial but not required.
Experienced in collaborating with colleagues in other regional offices as well as with headquarters based outside of Asia.
Capable of comprehending and effectively communicating technical regulatory requirements and compliance policies to others.
Self-motivated, with proven organizational and time management skills.
Able to handle and prioritize multiple tasks in a time-sensitive environment.
A proactive, upbeat, self-assured professional with high personal integrity.
What you will do:
Ensure the firm’s compliance with Japanese regulatory requirements, Korean regulatory requirements and assist in regional compliance matters as needed.
Develop and implement compliance policies and procedures.
Conduct regular compliance training sessions for staff.
Monitor and review compliance with regulatory requirements and internal policies.
Prepare and submit regulatory filings and reports.
Liaise with auditors, regulatory authorities and represent the firm in regulatory matters.
Review Marketing materials, provide compliance advice on cross-border marketing, and business initiatives
Corporate governance work such as co-ordination of board meetings, and relevant filings, fund registrations and assisting in corporate governance matters as required.
And other responsibilities as required.
What you bring:
A problem solver with a cross-functional perspective
Ability to work independently and as part of a collaborative team.
Excellent written and oral communication skills in English.
Considerable experience presenting, interacting, and building effective relationships with professionals, including executive management.
Proven ability to adequately document all work and attention to detail.
Education Preferred:
Bachelor Degree
Experience:
7 to 10 years of demonstrated experience in compliance, regulatory affairs, or a related capacity preferred.