Compliance Analyst Compliance Analyst …

Wellington Management Company, LLP
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Be the first to apply
Competitive
Wellington Management Company, LLP
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Be the first to apply
Competitive
Compliance Analyst
WELLINGTON MANAGEMENT

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.

POSITION
WELLINGTON MANAGEMENT
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 55 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.
DESCRIPTION
We seek a compliance professional with good foundational compliance experience in the financial services industry to join our APAC Compliance team. Based in Tokyo, the Compliance Analyst will report to the Compliance Officer in Tokyo and focus mainly on ensuring that we have effective regulatory compliance arrangements for our Japan business.

RESPONSIBILITIES
The responsibilities of the Compliance Analyst will include, but not be limited to, the following:
  • Provide advice and support to the client facing and marketing teams and review marketing materials used to ensure compliance with local regulations
  • Provide advice to ITM business and handling issues that arise in relation to ITM business
  • Provide advice and support to client teams managing business requests from sub-advisory clients invested in strategies offered by our group affiliates
  • Help draft and update the company policy and procedure to ensure that they reflect local requirements
  • Assist with regulatory risk assessment, conducting compliance monitoring program, and supporting third party internal control reviews
  • Complete regular/ad hoc regulatory filings and surveys (FSA, ITA, JIAA, T2FIFA)
  • Participate in department or firm-wide project based on initiatives
  • Deliver compliance training
  • Provide advice to the business, and handling issues that arise from the business
  • Take on additional department or office initiatives as assigned
QUALIFICATIONS
  • At least 8 years of financial industry experience, including 5 years focused on compliance. Good understanding on the asset management business a plus.
  • ITM experience is strongly preferred
  • JSDA internal control manager qualification a plus
  • Be self-motivated, enthusiastic and intellectually curious
  • Ability to work independently as well as in a team environment
  • Inquisitive mindset and good analytical and problem-solving skills
  • Good organizational skills and administration skills with the ability to manage assignments with competing priorities
  • Ability to learn quickly and seek responsibility in response to unique challenges
  • Good English language skills
SKILLS

JOB TITLE
Compliance Analyst

LOCATION
Tokyo

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 . If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMCANINQ@wellington.com .
Wellington Management Company, LLP logo
More Jobs Like This
See more jobs
Close
Loading...