Head of Compliance, Japan

At Franklin Templeton, we’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic firm spans asset management, wealth management and fintech, offering many ways to help investors make progress toward their goals. Talented teams working around the globe bring expertise that’s both broad and unique. And our welcoming, respectful and inclusive culture provides opportunities to help you reach your potential while helping our clients reach theirs.

Come join us in delivering better outcomes for our clients around the world! 

We are looking for a dynamic, high caliber Head of Compliance - Japan to join our Regulatory Compliance team in Tokyo. This role will manage the compliance and risk function for our business in Japan, including managing a team of compliance professionals. The position reports to the Vice President - Global Compliance based in Mumbai.

The purpose of Global Compliance is to assist Franklin’s boards of directors, senior management, and business unit leaders to effectively manage the regulatory compliance risks to Franklin, its subsidiaries and respective functional business units. The Head of Compliance, Japan will support such efforts by developing and implementing a compliance program and procedures for Franklin’s business units to ensure that their activities comply with all pertinent regulatory requirements.

• 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 staff 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.

• Lead and manage the Regulatory Compliance team in Japan.

• Establish and maintain a compliance program to assess the effectiveness of controls, systems and risk management framework.

• Liaise with specialist investment managers globally to design, implement and monitor compliance frameworks.

• Deliver compliance training to employees to ensure understanding of local regulatory requirements and global policies.

• Coordinate with internal and external auditors.

• Minimum 10 years’ work 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.

• Thorough knowledge of mutual funds, separate account management, or other similar investment products.

• Thorough knowledge of Japanese regulatory and legal regimes and regulators’ examination techniques/procedures.

• Strong understanding of regulatory examination techniques and supervisory expectations.

• Proven team management and leadership experience

• Excellent written and verbal communication skills in Japanese and English.

• Ability to communicate effectively (speaking and writing/reading) in English.

• Exceptional relationship management and communication skills across all levels of stakeholders.

• Strong analytical, problem-solving, and communication skills.

• 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

• Tertiary qualifications in law, economics, business, commerce or related field (preferred).

• 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).

• Occasional overseas travel may be required.

#MID_SENIOR_LEVEL