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Senior Manager Compliance
senior · Risk & Compliance
At Franklin Templeton, we believe success is built through powerful partnerships. As a forward thinking asset manager, we build dynamic relationships with clients, understand their goals, and navigate complex markets together. We leverage cutting edge strategies and deep insights to unlock opportunities for long term wealth creation. Our talented, global teams bring expertise that is both broad and unique.
From our welcoming, inclusive, and supportive culture to our globally diverse business, we offer opportunities not only to help you reach your potential, but also to contribute to our clients’ success.
We are seeking a dynamic and high-performing Senior Manager Compliance to join our Regulatory Compliance team in Tokyo. The role serves as the subject matter expert and owner of key compliance functions, including regulatory filings, marketing material reviews, regulatory engagement, and corporate governance activities.
The successful candidate will possess a strong understanding of applicable laws, regulations, and industry best practices, and will provide practical compliance guidance to support business objectives while ensuring regulatory adherence.
Reporting to the Head of Compliance, Japan, the role partners closely with business leaders and key stakeholders across Risk, Legal, Governance, Distribution, and other functions to identify, assess, and mitigate regulatory risks. The individual will also act as a trusted advisor to the business and may serve as a primary point of contact with local regulators and industry bodies.
The role will support the Compliance team's strategic objectives and participate in a variety of projects and initiatives, providing proactive compliance advice and helping the business navigate an evolving regulatory environment.
How You Will Add Value?
Establish and develop good relationships with regulators and industry bodies, coordinate regulatory examinations and fulfill statutory responsibilities.
Research legislation and advise business on relevant legislation and regulatory changes.
Partner with departments on business initiatives, advising management and employees on laws, regulations, and industry best practices.
Advice and support product launches, reviewing marketing materials and financial promotions etc to ensure adherence to applicable regulatory requirements and industry best practice.
Membership of presentation to Corporate Governance Committees including Risk Management Committee, Board as applicable
Provide onshore support for Board Meeting, assisting in the preparation of minutes and resolution, local filing to meet Company registry requirements
Manage corporate seal, registrations, resolutions, and company registry filings.
Under guidance from Head of Compliance Japan with Franklin Templeton’s first- and second-line teams (i.e. Risk, Governance, Distribution, Legal) to identify. assess, and mitigate potential regulatory risks, and provide recommendations to relevant stakeholders.
Coordinate with internal and external auditors.
Develop and deliver compliance training programs to promote employee awareness and understanding of local regulatory requirements and global policies.
Promote a culture of integrity, accountability, and Speak Up by creating an environment where employees feel empowered to raise concerns, seek guidance, and contribute to ethical decision-making.
Support organizational change initiatives by embedding compliance considerations into business transformation activities, ensuring risks are identified and managed effectively.
Lead and contribute to projects and other ad hoc initiatives as required.
What Will Help You Be Successful in This Role ?
Experience, Education & Certification:
Bachelor’s degree in Business, Law, or related discipline
Minimum 10 years’ experience in the investment advisory, mutual fund, superannuation fund and/or broker-dealer sectors.
Minimum of 5 years’ experience in legal, compliance, internal audit, risk management, portfolio accounting, or trading/portfolio management operations.
Tertiary qualifications in law, economics, business, commerce or related field (preferred).
Technical Skills:
In depth knowledge of mutual funds, separate account management, or other similar investment products.
In depth knowledge of Japanese regulatory and legal regimes and regulators’ examination techniques/procedures.
Strong understanding of regulatory examination techniques and supervisory expectations.
Knowledge of regulators and/or regulatory and legal regimes operating in the major Asia-Pacific markets (preferred).
Training and/or experience in areas such as Artificial Intelligence (AI), Blockchain, Digital Assets, products or strategies in the Alternate products (preferred).
Soft Skills:
Excellent written and verbal communication skills in Japanese and English.
Exceptional relationship management and communication skills across all levels of stakeholders.
Strong analytical, problem-solving, and communication skills.
High attention to detail, ability to implement systems and drive continuous process improvement.
Demonstrate a forward-thinking mindset by proactively understanding new business areas and adopting innovative tools and technologies to support growth and adaptability
Work Schedule:
9:00-17:30 (7 hours 30 minutes per day)
Hybrid work (Four days required in office)
Occasional overseas travel may be required.
#MID_SENIOR_LEVEL #LI-Hybrid
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.