Officer, APAC Compliance

About Us

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.

About the Role

Wellington Management Japan Pte LTD

Compliance Officer (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 an experienced Compliance Officer with deep expertise in the asset management and fund industry for our Japan entity. Based in Tokyo, this Compliance Officer will serve as the primary contact with local regulatory bodies and will lead our compliance program in Japan. 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 Officer will:

• Maintain, enhance and scale our Japan compliance program in line with the growth and evolution of our business
• Manage relationships with local regulatory bodies, facilitating communication and promoting understanding of Japanese requirements by global experts in adjacent control disciplines such as risk and information security
• Support senior management, including the Head of Office, in fulfilling their regulatory supervision duties
• Provide advice and support to our client-facing and marketing teams in developing pragmatic solutions that enable business objectives while maintain a strong control environment
• Advise and support our ITM, wealth, sub-advisory and separate mandate business across client segments on regulatory considerations
• Provide regulatory guidance to facilitate client access to alternative and traditional investment solutions offered by our overseas group affiliates
• Advise and support our portfolio management team on regulatory matters
• Design and oversee compliance training, testing and regulatory risk assessments to ensure compliance with local regulations and effective integration with our global compliance program
• Oversee regulatory filings and notifications, manage regulatory enquiries, annual internal audits and any regulatory inspections
• Participate in department or firm-wide project based on strategic initiatives

Qualifications

• At least 10 years of relevant compliance experience, including experience gained from the asset management and fund industry in Japan. Experience in legal, audit or risk in the industry a plus.
• Strong ethics, judgment and maturity
• Comfort with risk-based decisions and informed trade-offs
• Proactive, self-motived and able to work independently and collaboratively
• Creativity and ability to work under pressure
• Global mindset and ability to collaborate and communicate effectively across regions
• Ability to influence outcomes through collaboration and well-defined advice
• Strong command of English

Not sure you meet 100% of our qualifications?  That’s ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.

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 GMWTalentOperations@wellington.com.

We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.