Mika Otsu

Assigned to multiple global financial institutions as a contractor, provided compliance and legal administrative support across asset management, clearing, fintech, and banking sectors. Representative assignments: ・U.S.-based asset management firm (Dec 2024–Apr 2025): AML screening, personal trading review, internal policy/procedure drafting ・U.S.-based Fintech company (Jun - Nov 2024): Responded to legal inquiries from tax offices regarding delinquent payers ・European clearing house (Feb - May 2024): Monitored regulatory websites, assisted with FSA hearing preparation ・U.S.-based investment bank (Oct 2022– Jan 2023): Supported onboarding training and double-hat registration processes for investment banking staff. ・Big Four accounting firm (Jun - Jul 2022): Reviewed marketing and internal documents for editorial compliance

Hired as a contract employee directly by the compliance department to support a new advisory business launch. ・Translated internal policies from Japanese to English ・Responded to compliance-related inquiries from global risk teams ・Translated Japanese legal documents and KYC information

Worked as a contractor at several global financial institutions in asset management and securities sectors, supporting compliance operations and administrative tasks. Representative assignments: ・U.S.-based investment bank (Jun 2021 – Dec 2021): 　 - Translated internal rules and procedures for the launch of a new banking business led by the Compliance Division (for bank license application), from Japanese to English 　 - Reviewed and summarized regulatory notifications from supervisory authorities and industry associations (e.g., JSDA, JPX), and drafted internal communications for relevant teams ・French asset management firm (Sep 2020 – Dec 2020): Conducted rule updates, trade monitoring, and committee secretariat tasks ・German asset manager (Oct 2017 – Jul 2018): Worked as a maternity leave cover for a VP-level position. Responsibilities included creating reports for public pension clients, monitoring gifts and personal trading via StarCompliance, conducting OFAC checks, and supporting FSA, JITA, and JIAA filings as well as Corporate Secretary functions.

・Conducted Control and Testing (C&T), a key part of the Compliance Oversight Program in Asia Pacific, focusing on AML, ethics, privacy, and anti-corruption ・Identified control objectives for regulatory risks, validated key controls, executed control tests, and documented results ・Communicated findings and control effectiveness issues to business-aligned compliance managers in Asia Pacific ・Escalated potential barriers and status updates to the C&T manager ・Built collaborative relationships with local compliance and business unit managers ・Led a five-member team on regulatory inspection projects, including those by Japan’s FSA and the Bank of Japan

・Provided compliance and legal risk support ・Organized contracts, board resolutions, and shareholder meeting records during the company’s transition and restructuring phase

・Provided compliance support by reviewing outgoing documents, including weekly/monthly reports, prospectuses, trust deeds, statutory reports, and distributor sales materials ・Delivered compliance education programs to enhance staff understanding of Japanese laws and regulations ・Prepared and submitted required documents to regulatory authorities and industry associations ・Conducted internal audits based on the SESC Inspection Manual to identify compliance weaknesses ・Supported the launch of new products by ensuring information sharing among all relevant parties ・Handled secretarial duties for the Risk Compliance Committee ・Interacted with local regulators (FSA) and industry associations (JITA and JIAA)

・Managed two contract workers handling routine compliance tasks ・Produced and updated policies and procedures in line with global standards and Japanese laws and regulations ・Delivered compliance training to enhance understanding of global and local regulatory requirements ・Reviewed outgoing documents including reports, prospectuses, trust deeds, and distributor sales materials ・Prepared and submitted required documents to regulators ・Monitored personal trading activities ・Administered Board and Shareholders meetings ・Supported the launch of new products by coordinating information sharing among relevant parties ・Maintained records of legal documents and contracts ・Interacted with local regulators (FSA) and industry associations (JITA and JIAA)

・Implemented compliance check functions and system improvements in trading platforms (Charles River Project) ・Reported large shareholdings under the 5% Rule ・Monitored personal trading and developed internal training programs ・Monitored insider trading activities ・Monitored gift and entertainment spending ・Conducted KYC for new and existing clients with OFAC Sanctions List screening ・Implemented policies and conducted regular and ad hoc monitoring, review, and reporting ・Assisted with specific compliance projects and initiatives as required ・Supported the Head of Compliance with daily data management for investment guideline monitoring

・Performed compliance monitoring under a dual-hatting license for Trust Bank and Asset Management entities ・Enhanced regulatory reporting and internal information sharing frameworks ・Prepared data for large-shareholding reports (5% Rule)

・Supported compliance monitoring for investment guidelines and discretionary account transactions ・Assisted in internal control enhancements and ad-hoc compliance projects