<Regulatory Compliance Advisory>
· Provide expert advice on compliance with relevant laws, rules, and regulatory guidelines.
· Interpret and apply regulatory requirements to business operations.
· Oversee the business activities being compliance with applicable regulations (e.g., FIEA, Real Estate Brokerage Act, Real Estate Investment Advisory Business regulations, FSA supervisory guidelines, Financial Instruments Firms Association rules).
<Regulatory Filings & Regulator Relations>
· Serve as the primary point of contact for regulatory authorities (e.g., FSA, MLIT, Financial Instruments Firms Associations).
· Prepare and submit required regulatory filings and notifications (registrations, amendments, periodic reporting, supervisory submissions).
· Coordinate responses to regulatory inquiries, inspections (on‑site/off‑site), data requests, and remedial action plans.
<Governance & frameworks>
· Collaborate with APAC Private Markets Compliance to design, implement, and monitor compliance programs, policies, and practices for APAC IPM business.
· Collaborates with Invesco’s functional compliance teams on marketing, anti-money laundering, personal conflict of interest (Code of Ethics, etc.), and regulatory reporting matters.
· Support the firm’s broader risk management and internal control frameworks.
· Operate, coordinate and participate in local business and compliance committees and governance forums, ensuring appropriate documentation, reporting and escalation.
· Provide compliance reporting to senior management, the Board, and relevant committees and governance forums.
· Reports on a regular basis to the Head of Compliance, Japan, and the Head of Central Compliance, APAC on the progress of implementation of the compliance program.
· Ensure internal policies & controls are designed, developed, implemented in line with the regulatory requirements and group global policy frameworks, and maintain compliance manuals, procedures, and internal controls.
· Review marketing materials and public communications to ensure fairness, accuracy, balance, and regulatory compliance; maintain approval records.
· Oversee solicitation practices, suitability/appropriateness checks, and complaint-handling processes.
<Conflicts of Interest & Related‑Party Transactions>
· Identify, document, and mitigate conflicts of interest involving the asset manager, affiliates, and investors.
· Oversee related‑party transactions to ensure arm’s‑length execution and appropriate procedural governance.
· Deliver compliance training, including onboarding programs and periodic refresher sessions.
· Provide specialized training on compliance requirements and internal procedures as needed.
<Code of Conduct, Code of Ethics, Internal Policies & Culture>
· Oversee adherence to the Company’s Code of Conduct and Code of Ethics.
· Support Global Ethics Office to manage frameworks for conflicts of interest, MNPI/insider information, information barriers, personal account dealings, and gifts & entertainment.
· Support senior management in promoting a culture of ethical conduct, integrity, and accountability.
· Support AML/FC team to operate and maintain a risk‑based AML/CFT program in accordance with applicable laws and best practices.
· Oversee sanctions compliance and escalate issues as necessary.
<Provides support on any ad-hoc activities / projects directed by head of Compliance, Japan, and the Head of Central Compliance, APAC.>