About your team
Fidelity International holds the integrity of its business dealings as one of the core values of the organization and therefore the role that the legal and compliance function fulfils is critical. The Department works in partnership with other businesses, support and operation areas to ensure that all the appropriate regulatory controls are in place efficiently and effectively through day-to-day advice, trainings and regular/ ad-hoc compliance monitoring. The Department also be engaged in various initiatives and projects to develop/enhance businesses by proactive collaboration across the functions locally and internationally. It does also work with local regulators, government bodies and industry associations in influencing and shaping future requirements to protect investors.
About your role
The position will be expected to be an integral part of the Japan and Asia regional Business Legal and Compliance function, which in turn is an integral part of Fidelity's Global Oversight function. The position requires a candidate with a genuine interest in the compliance aspects of financial services work, with the strength and vision to develop a top-flight, business focused, proactive compliance function, working across business disciplines to provide focused and clear, commercially oriented advice to the businesses with the highest integrity
**.
To develop our partnership with the Business and provide value-added servic**
- esBuild and establish excellent working relationships with business/operation to ensure operational effectiveness within the boundaries of regulati
- onPartner with, and offer value-added advice to, the business and as well as to functional support areas on regulatory and compliance issues, and lead compliance projects with minimal supervisi
- onSupport the business through providing regulatory advice in structuring products and business models/servic
- esPrepare and review reports to senior management and relevant boards and committe
- esReview, advise and monitor the quality of marketing materia
- lsComplete (or coordinate the completion of) regulatory filin
- gsReview and keep all regulatory status, such as business and individual registrations are fully met with all relevant requirements and apply/obtain any additional regulatory status where necessa
**ry
To educate, influence and lead on key regulatory risks and control iss**
- uesProactively identify, resolve and communicate compliance issues and trends with stake hold
- ersAssess impacts and implications of regulatory developments, including consultation papers on rule chan
- gesDevelop and conduct training and education programme on compliance related matters to reinforce compliance princip
**les
To enhance the oversight/ assurance framework to ensure compliance controls are appropriately app**
- liedDesign and develop appropriate strategies to ensure legal and regulatory requirements are fully met and aligned with business n
- eedsDevelop and implement compliance procedures to ensure operational effectiveness and to produce reports for management informa
- tionWork effectively with other Oversight functions to drive forward Oversight initiatives throughout Asia Pacific and Gl
- obalIdentify current regulatory gaps/ compliance weaknesses and propose improvement meas
- uresReview and monitor possible Conflict of Interests and assess proper mitigation is in p
- laceDrive forward interpretation and implementation of relevant rules and regulations governing Fidelity's business operations – particularly where new rules are introduced that require assessment of their impacts across Fidelity's operat
- ionsAssist with the development of client take-on and anti-money laundering policies (in conjunction with the AML Officer) and privacy policies (in conjunction with the Privacy Offi
- cer)Investigate incidents and complaints (in conjunction with the Complaints Officer) to ensure closure of is
**sues
To work closely with regulators and other third parties in ensuring the integrity of the C**
- ompanyDevelop and maintain excellent working relationship with all levels of the regulators and industry associations and represent Fidelity's int
- erestsLiaise with regulators and draft responses to regulatory enq
- uiriesReview and keep all regulatory status, such as business and individual registrations are fully met with all relevant requirements and apply/obtain any additional regulatory status where nec
- essaryProactively assist management in progressing Fidelity's lobby
- agendaIndependently respond to routine and ad-hoc compliance requests from internal and external s
- ourcesPerform a role to support managers for liaising with officers at the time of regulatory inspections /
**audits
A**
- bout you10 to 15 years working experience in compliance/ regulatory assurance/ risk functions for asset management business in the financial industry. Business compliance experience is p
- referredExcellent interpersonal communication skill at all levels junior to senior ma
- nagementVerbal and written communication skill both in Japanese and English is m
- andatoryStrong analytical skills, problem-solving ability and high attention t
- o detailInvestigative and questionin
- g natureTeam player who is sensitive to the needs of the functional busine
- ss unitsSelf-starter with a can-do attitude who is able to work as part o
- f a teamAbility to multi-task and prioritize in a demanding and fast-paced env
- ironmentGood IT skills (including Microsoft Office, levera
ging AI)
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