Manager - Investment Compliance Monitoring (Japanese Language)

Investment Compliance Monitoring - Manager

General Counsel Shared Services

Gurgaon, India

Senior Manager - Investment Compliance Monitoring

5

The role supports monitoring trading activity in stocks listed on the Tokyo Stock Exchange and other relevant market conduct surveillance activities. You will be responsible for monitoring trading in accordance with market regulations and guidelines to detect suspicious transactions that might constitute market abuse. In addition, there will be opportunities to perform other activities undertaken by the firms Investment Compliance function.

• Using proprietary and market-leading tools to perform recurring exception monitoring of FILs trading and other investment activities and investigates exceptions and incidents which include, but not limited to, best execution, fair allocation, market conduct, and conflicts of interest;
• Respond to requests and inquiries from regulators, exchanges and industry bodies, including the SESC, KLFB, JSDA, JPX, and IMAJ..
• Assisting with thematic reviews, desktop reviews and projects;
• Coordinate and collaborate with internal teams in relation to periodic regulatory supervisory inspections.
• Supporting the monitoring and analysis of regulatory trends and changes to the various rules and regulations impacting FILs investment functions and working closely with and advising internal stakeholders on the impact of such trends and changes.
• Supporting the development, review and implementation of changes to policies and procedures related to FILs investment functions.
• Develop effective working relationships with other functional areas to support the timely receipt of information required to complete monitoring and review activities.
• Provide a high-quality and timely service to internal stakeholders.

• Strong analytical capabilities and excellent communication and interpersonal skills.
• Native Japanese speaker or highly fluent in Japanese, demonstrated by successful completion of JLPT N1. Fluency in English is also required.
• 7+ years of experience in the financial services industry in an oversight, compliance monitoring, surveillance, or securities operations capacity, with a firm understanding of concepts and practices relating to equities trading.
• Good understanding of Japanese regulations and market practices, including but not limited to the Financial Instruments Exchange Law, JSDA Rules and Guidelines, and the Tokyo Stock Exchange Regulations.
• Experience responding to regulator or exchange enquiries, supporting regulatory inspections, or assisting with investigations would be advantageous.
• Strong ability to analyse trading activity, identify unusual patterns, document investigation outcomes and escalate issues appropriately.
• Excellent written and verbal communication skills in Japanese and English.
• Practical knowledge and skilled in using MS Office applications, especially PowerPoint, Excel and Word.
• Professional certification such as JSDA Internal Control Supervisor (Naibu Kanri Sekininsha) qualification or CAMS, CISI, CFA, FRM, or CPA is desirable but not essential.
• A global perspective and cultural awareness, with the ability to work effectively across regions and time zones.
• Strong attention to detail, accuracy, and investigative discipline, with professional scepticism and sound judgement.
• High degree of integrity, discretion, and ability to handle confidential or sensitive matters.
• Ability to collaborate effectively with stakeholders, clearly articulate issues to senior management, and challenge constructively where required.
• Strong self-motivation, organisation, prioritisation, and time management skills. Positive team player with the ability to work independently and take initiative.