Compliance Analyst

  • Competitive
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 21 Mar 19

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 50 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 Analyst 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:

  • Work closely with the Compliance Officer in Tokyo to ensure that the company policy and procedure reflects local requirements, and support reviewing or creating the policy and procedure.
  • Assist with any new regulatory risk assessment processes, run regulatory internal compliance monitoring program, and follow up any internal control reviews conducted by third parties.
  • Complete regular/ad hoc regulatory filings and surveys (FSA, ITA, JIAA)
  • Review marketing materials for all business groups to ensure compliance with local regulations.
  • Participate in department or firm-wide project based on initiatives.
  • Deliver compliance training.
  • Provide advice to the business, and handle issues that arise from the business.


This individual is expected to expand his/her assignments/coverage, and take on initiatives delegated by the Compliance Officer.
Qualifications
  • Good understanding on the asset management business. At least 5 years of industry experience in control functions (such as compliance, risk management or audit) preferred.
  • Be self-motivated, enthusiastic and intellectually curious, and has the 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
  • Functional English language skills


JOB TITLE
Compliance Analyst

JOB FAMILY
Compliance

LOCATION
Tokyo

As an equal opportunity employer, Wellington Management considers all qualified applicants will receive 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 .