Senior Compliance Analyst, APAC

About the role

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. Wellington Management Japan Pte LTD Position Description Compliance Analyst (Tokyo) .................................................................................................................................................................................................................................................... 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. Role Description 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

• The Compliance Analyst will:
• 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

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