Manager - Investment Compliance Monitoring
Fidelity International (company site, opens in a new tab)7+ yrsGurugramOn-siteDirect career pageEst. 18–30 LPA
Posted 10h ago
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Job description
Structured overview of role & requirements
About This Role
- Monitor trading activity on the Tokyo Stock Exchange to detect suspicious transactions and potential market abuse in compliance with Japanese market regulations.
- Use proprietary tools to conduct recurring exception monitoring of trading and investment activities, investigating incidents including best execution, fair allocation, market conduct, and conflicts of interest.
- Collaborate with internal teams and regulators to support regulatory inspections, respond to inquiries, assist with investigations, and update policies and procedures related to investment compliance.
Minimum Requirements
- 7+ years experience in financial services focusing on compliance monitoring, surveillance, or securities operations with strong knowledge of equities trading.
- Native or highly fluent Japanese speaker (JLPT N1) with fluency in English.
- Good understanding of Japanese financial regulations including Financial Instruments Exchange Law, JSDA rules, and Tokyo Stock Exchange regulations.
- Work Experience Required: 7+ years; Notice Period: Not explicitly mentioned in the JD.
Ideal Candidate Profile
- Experienced in responding to regulator/exchange inquiries and supporting regulatory inspections or investigations in financial compliance.
- Strong analytical skills to identify unusual trading patterns, document findings, and escalate issues appropriately.
- Ability to work cross-regionally with a global mindset, managing multiple stakeholders while maintaining discretion and integrity.