【フィデリティ投信株式会社】Senior Manager, Investment Compliance 11/30（木）〆切
仕事内容
Job Description
Title Investment Compliance Senior Manager
Department Global Investment Compliance
Location Tokyo
Reports To Head of Investment Compliance Surveillance
Level 6
We want you to question and challenge us. That’s how your skills will grow. And your career will too. All across our business there are experts to learn from, possibilities to explore and new opportunities to take. So join our Investment Compliance Surveillance team and feel free to explore.
About your team
Global Investment Compliance delivers advice and regulatory expertise to our internal stakeholders whilst providing independent oversight and assurance via specialist monitoring teams.
About your role
Fiduciary duty to our clients and contributing to market integrity are responsibilities we take seriously, and it inspires us to do the right thing. To ensure we deliver a comprehensive and effective surveillance progamme, you will collaborate with colleagues and stakeholders in Japan and key locations to develop, implement and execute surveillance activities.
Core activities include:
Use of proprietary and third-party tools to monitor of Fidelity’s trading and investment activities in relation to best execution, fair allocation, market conduct, and conflicts of interest
Ongoing oversight of retail brokerage transactions to identify, investigate and escalate suspicious trades or patterns of behaviour
Collaborating with internal teams to prepare for periodic regulatory inspections and respond to routine requests and inquiries from trustees, auditors and regulators
Supporting a global programme of thematic reviews and deep dives
Support and collaborate with colleagues on advisory and other compliance-related matters, as necessary
応募資格(必須経験など)
About you
Possess 6 to 10 years of experience in a Financial Services monitoring role
Fluent spoken and written Japanese with business-level English skills
Investigative and questioning nature with excellent analytical and problem-solving capabilities
Working knowledge of Japanese regulatory requirements applicable to asset managers and brokerages
Highly collaborative with a creative mindset and experience working with cross-border teams
Proactive approach and a ‘can-do’ attitude