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About the Role

We seek a compliance professional with good foundational compliance experience in the financial services industry for our Japan entity. Based in Tokyo, the Compliance Analyst will work closely with the Compliance Officer in Tokyo and focus mainly on ensuring that we have effective regulatory compliance arrangements for our Japan business. The role sits within the APAC Compliance team within our global Legal and Compliance function and reports to the Chief Compliance Officer for Asia Pacific, based in Hong Kong.

Responsibilities

Assist with regulatory risk assessment, conduct compliance testing and monitoring, and facilitate third-party internal control reviews
Provide compliance advice and support on sales and marketing to the client-facing and marketing teams and review marketing materials as required
Provide compliance advice to all other business functions as day-to-day matters arise and resolve any compliance issues
Draft and update local policies and procedures to ensure that they reflect local requirements, factoring in adoption of global policies and controls
Design and deliver compliance training that supplements global compliance training to ensure coverage of additional local regulations
Complete regular and ad hoc local regulatory filings and surveys (e.g. FSA, IMAJ, T2FIFA)
Participate in department-, office-, or firm-wide projects as assigned

Requirements

Around 8 to 10 years of financial industry experience, including at least 5 years related to Compliance
Good understanding of the asset management business a plus
ITM experience strongly preferred
JSDA internal control manager qualification a plus
Strong ethics and professional judgment
Proactive, self-motivated and able to work independently and collaboratively
Good analytical skills and attention to detail
Intellectual curiosity and creative problem-solving skills
Technology-savvy, with the ability to adopt emerging technologies, including AI and automation
Good English language skills

Location

Tokyo

Work Type

Hybrid

Experience Level

8-10 years of financial industry experience
5 years related to Compliance

About the Company

Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets.
Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate.
As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.
Tracing our history to 1928, Wellington Management is one of the world’s largest independent investment management firms.
We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets under management.
Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies.
As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients.
We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions.

Equal Opportunity

As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law.
As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.