Head of Compliance, Japan – VP

About the role

The Head of Compliance, Japan, will lead the local compliance programme for Nuveen’s Tokyo operations, ensuring alignment with regulatory expectations, Group standards, and business growth objectives.

Key responsibilities

• Serve as the principal contact with Japanese regulators and self‑regulatory organisations, handling reports, notifications and routine inspections.
• Identify compliance risks, develop policies, and provide feedback on emerging Group policies from a Nuveen Japan perspective.
• Deliver training on local compliance policies and execute the annual compliance monitoring plan in coordination with APAC, Europe and ME colleagues.
• Manage remediation actions, liaise with the Compliance Ethics team in London, and oversee local marketing material approvals.
• Maintain governance structures, provide regular health reporting, and support ad‑hoc compliance projects across regions.

Required profile

• Extensive experience working with Japanese regulators such as the Financial Services Agency and SROs.
• Deep understanding of asset‑management and securities businesses, including marketing and distribution.
• Significant experience as a Compliance Officer in a multinational organisation.
• Fluency in Japanese and English with strong interpersonal and communication skills.

Required skills

• Top‑flight regulatory subject‑matter expertise.
• Relevant Japanese licences/qualifications (e.g., JSDA Internal Administrators Qualification, JSDA Sales Representative).
• Knowledge of regulatory regimes in Hong Kong, Korea, Singapore or Australia is a plus.