The Head of Legal & Compliance of Manulife Investment Management (Japan) is responsible for leading the legal and compliance function for the asset management business in Japan. This role oversees a team of Legal and Compliance professionals and is accountable for establishing compliance policies, designing frameworks, and supervising the implementation of compliance programs. In addition, the position provides support on legal matters and corporate governance activities.
The role reports directly to the Asia Wealth and Asset Management (“AWAM”) Chief Compliance Officer, with matrix reporting to the AWAM Chief Counsel and the WAM Japan Chief Executive Officer. Beyond ensuring adherence to local regulatory requirements, the incumbent will oversee the implementation of global compliance standards and business initiatives, requiring close collaboration with global teams based outside Japan.
The position also serves as a strategic advisor to local senior management on legal and compliance matters and, when necessary, provides guidance to business partners in other jurisdictions on issues related to Japanese regulations.
Responsibilities:
Oversee all legal and compliance activities in accordance with Japanese regulations (including the Financial Instruments and Exchange Act and the Investment Trust Act and Act on Prevention of Transfer of Criminal Proceeds).
Provide legal and compliance advice on asset management operations, including discretionary investment management, investment trusts, and Type II Financial Instruments Business.
Develop, maintain, and enhance internal compliance policies and compliance programs covering regulatory compliance and investment compliance matters.
Oversee and support legal and corporate governance function.
Manage regulatory inquiries, audits, and internal compliance training.
Collaborate with global and regional teams including group reporting, implementation of global compliance standards and projects. Advise cross functional teams outside Japan on specific local regulations, such as cross border business advice, licensing enquiry.
Lead and develop the legal and compliance team.
Knowledge/Skills/Competencies/Education:
Qualifications
Minimum of 15 years of progressive experience in legal and compliance within the asset management industry.
At least 3 years in a senior leadership capacity, such as Head of Legal & Compliance or an equivalent role.
Comprehensive knowledge of Japanese financial regulations, including the Financial Instruments and Exchange Act and the Investment Trust Act.
Deep understanding of asset management operations, encompassing discretionary investment management, investment trusts, and Type II Financial Instruments Business.
Proficiency in business-level English, both written and spoken.
Legal qualification and/or regulatory experience is preferable but not mandatory.
Demonstrated leadership capability with proven experience in managing and developing high-performing teams.
Preferred Skills & Attributes
High ethical standards and strong compliance mindset.
Strategic thinking and problem-solving ability.
Excellent communication skills in a global environment.
Ability to make sound decisions under pressure.
When you join our team:
We’ll empower you to learn and grow the career you want.
We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
As part of our global team, we’ll support you in shaping the future you want to see.
#LI-WAM
About Manulife and John Hancock
Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit https://www.manulife.com/en/about/our-story.html.
Manulife is an Equal Opportunity Employer
At Manulife/John Hancock, we embrace our diversity. We strive to attract, develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment, retention, advancement and compensation, and we administer all of our practices and programs without discrimination on the basis of race, ancestry, place of origin, colour, ethnic origin, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy-related conditions), sexual orientation, genetic characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.
It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact [email protected].
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