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Legal&Compliance Manager

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Manager

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KEY RESPONSIBILITIES
LEGAL:
Prepare, review, and amend various agreements in industry accepted standard templates such as investment trust
deeds, investment management agreements, investment advisory agreements, and distribution agreements.
Draft, review, and amend in liaison with APAC Legal or external legal counsel if necessary various agreements such
as service level agreements, investment delegation agreements, and other legal documentation related to asset
management business.
Liaise and coordinate with internal departments and external parties to finalize the above agreements.
Maintain proper record of the above legal documentation.
Provide legal interpretation / opinion relevant to the different business lines (to the various areas such as Sales,
Investments, Compliance, HR, Senior Management)
Assist in provision or coordination of company secretarial services, including, but not limited to, preparing for and
taking minutes of BOD meetings and Shareholdersf resolutions.
liaise with external legal counsel for matters requiring legal justification or interpretation
Ensure translations (English/Japanese) in a legal context, when required.
Ensure legal and regulatory watch.

FUND LEGAL
To be a main contributor who liaises and plays a gate keeping role for all necessary communications with the
Companyfs outsourcing vendor in timely manner, including:
Preparation, filing and control of securities registration statements and reports on securities registration
Preparation of regulatory investment reports on investment trusts
Preparation of prospectuses of investment trusts
Preparation of documents in case of maturity of investment trusts
Safekeeping of legal documents related to ITMs
COMPLIANCE:
To assist the Head of Compliance to ensure the business activities of the company are compliant with Japanese
regulations and the Group Compliance policies and procedures.
To coordinate and complete compliance monitoring activities;
Review and approval of locally issued marketing materials.
Review of and provision of compliance advice in respect of new product proposals.
Preparation of local and regional compliance reporting requirements.
Compliance breaches review.
Coordinate regulatory filings and submissions.
Provision of compliance advice on matters to the business within agreed competence.
Assistance on other ad hoc compliance tasks, as required.
As the position ensuring the 2nd level of control as defined in the Financial Security Generic Control Plan

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ESSENTIAL QUALIFICATIONS & EXPERIENCE
Some 5 years of experience in the Japanese asset management industry
Experience in disclosure documents re Japan domiciled investment trust is a major advantage.
Fluent in English and Japanese (both written and spoken).
ESSENTIAL SKILLS/COMPETENCIES (TECHNICAL / BEHAVIOURAL / LEADERSHIP)
Self-starter and good communicator.
Legal communication skills.
Good knowledge of regulatory framework of asset management business.
Willing to assist in administrative type of tasks.

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154219

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