Compliance Analyst, APAC

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

Compliance Analyst (Tokyo)

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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.

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.

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

• 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

Not sure you meet 100% of our qualifications Thats 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 .

We believe that in person interactions inspire and energize our community and are essential to our 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.