Fidelity International India | Manager - Investment Compliance Monitoring (Japanese Language)

Key responsibilities

• So, join our General Counsel Shared Services Team and feel like you’re part of something bigger.
• The team supports the implementation and continuous execution of trading, communication, and other regulatory surveillance processes.
• The team works closely with global stakeholders, supports system testing and optimisation, and plays a key role in enhancing processes and maintaining thorough documentation.
• 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.
• It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team.
• 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 development, review and implementation of changes to policies and procedures related to FIL’s 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.
• Reports To Senior Manager - Investment Compliance Monitoring
• Supporting the monitoring and analysis of regulatory trends and changes to the various rules and regulations impacting FIL’s investment functions and working closely with and advising internal stakeholders on the impact of such trends and changes.

Experience and qualifications required

• Strong analytical capabilities and excellent communication and interpersonal skills.
• 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.
• Experience and Qualifications Required
• Fluency in English is also required.

Fidelity International

Fidelity International was founded in Bermuda in 1969, has its global headquarters in Hamilton and has been independent of the US Fidelity organisation since 1980, so it is a separate company from the American firm Fidelity Investments. It is privately held, owned mainly by its management and members of the founding family, and works from more than 25 locations around the world. The firm runs active, research-led investment management for central banks, financial institutions, wealth managers and private individuals, and a platform business that gives individuals, advisers and employers access to investment choices, administration services and pension guidance.

India is Fidelity International's largest location outside the UK and its biggest capability hub. Work here began in Gurugram in 2001, and the company now has offices in Gurugram, Bengaluru and Mumbai; it does not run a customer-facing business in India. Teams in India support the global business in investment operations, fund pricing, client services, financial crime and investment compliance monitoring, investment research and fund analysis, finance, General Counsel shared services and technology. Many of these roles suit B.Com, M.Com, MBA (Finance), CA, CFA, CMA and ACCA profiles.

• Industry: Investment management, retirement savings and investment platform services
• Headquarters: Hamilton, Bermuda
• In India: Offices in Gurugram, Bengaluru and Mumbai