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Compliance Senior Analyst

MFS Investment Management
Tokyo, Japan
Posted 2 days ago Hybrid Permanent Competitive
Compliance Senior Analyst
At MFS, you will find a culture that supports you in doing what you do best. Our employees work together to reach better outcomes, favoring the strongest idea over the strongest individual. We put people first and demonstrate care and compassion for our community and each other. Because what we do matters - to us as valued professionals and to the millions of people and institutions who rely on us to help them build more secure and prosperous futures.



What you will be responsible for: BASIC PURPOSE:
Using discretion and judgment, responsible for ensuring regulatory compliance within MFS Japan on the part of the business units supported by the compliance group. Interacts with MFS and MFS Japan management to escalate compliance matters and to resolve regulatory and compliance issues.
PRINCIPAL RESPONSIBILITIES:
Under the supervision of the MFS Japan Compliance Officer:
  • Contribute to the on-going development of MFS Japan's compliance manuals and compliance monitoring procedures.
  • Execute MFS Japan's compliance monitoring plan through planning workload, defining deliverables, delivering desk- and field-based activity, and writing reports as appropriate. Recommend and agree to remedial activity with the business; track agreed actions to closure.
  • Research, develop and deliver training and communications materials both within the Compliance Department and into the business that provide explanation and insight into a range of compliance issues as required.
  • Respond proactively to requests for assistance from the business, researching issues, providing advice and guidance as required and using influencing skills to ensure that the appropriate solutions are agreed.
  • Provide local sign-off for Financial Promotions to the standards required by FSA and other relevant regulators.
  • Prepare initial drafts of locally required regulatory filings and other documentation.
  • Prepare initial drafts of reports and other briefing documentation for the MFS Japan's Board and other senior stakeholders as required.
  • Advise MFS Japan's Compliance Officer of any regulatory concerns and recommend corrective actions.
  • Collaborate with the MFS Compliance Department in a timely manner. Participate within cross-functional projects providing Compliance advice and input as required.
  • Maintain an external focus to ensure continuing awareness of regulatory best practice across the MFS Japan's peer group in Japan.
  • Assist MFS Japan's operational and sales teams by performing quality assurance reviews with respect to financial promotions, periodic client reporting documents and other activities as required.
  • Assist MFS Japan to suitably implement MFS' Corporate Risk Management Initiatives.
  • Conduct preliminary legal review of locally unified agreement and other agreements within the jurisdiction of Japan, based on the comprehensive legal service arrangement.

JOB REQUIREMENTS:
  • Minimum of four years experience, preferably within an asset management firm although applicants with experience from financial services, auditing, consultancy and regulatory backgrounds will be considered.
  • In depth knowledge of regulatory requirements, primarily of the FSA that are relevant to the sector combined with detailed knowledge of investment management operations including distribution.
  • Strong writing, communication and influencing skills are essential.
  • Proven ability to operate independently taking ownership for the delivery of projects while also operating successfully in a cross-functional, often international, team environment is essential.
  • Relevant experience working in an international organisation would be an advantage.
  • Relevant experience of operational risk management would be an advantage.
  • Previous experience of direct supervision from regulators and of regulatory assessments would be an advantage.
  • Good analytical and data management skills are an advantage.
  • Education to degree level and with relevant professional qualifications preferred.
  • Fluent in English and Japanese required.
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What we offer:
At MFS, we view our employees as family - and like you, we want our family happy and healthy. That's why we provide competitive benefits programs and family-friendly policies which support the work-life balance needs of our employees.



MFS is a hybrid work environment (remote/onsite) unless otherwise stated in the job posting .

If any applicant is unable to complete an application or respond to a job opening because of a disability, please contact MFS at 617-954-5000 or email talent_acquisition@mfs.com for assistance.

MFS is an Affirmative Action and Equal Opportunity Employer and it is our policy to not discriminate against any employee or applicant for employment because of race, color, religion, sex, national origin, age, marital status, sexual orientation, gender identity, genetic information, disability, veteran status, or any other status protected by federal, state or local laws. Employees and applicants of MFS will not be subject to harassment on the basis of their status. Additionally, retaliation, including intimidation, threats, or coercion, because an employee or applicant has objected to discrimination, engaged or may engage in filing a complaint, assisted in a review, investigation, or hearing or have otherwise sought to obtain their legal rights under any Federal, State, or local EEO law is prohibited. Please see the EEO is the Law document and Pay Transparency Nondiscrimination Provision , linked for your reference.
Job ID  MFS-220400
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