外資系証券会社でのコンプライアンス業務の求人

Purpose of the role

To monitor and analyse market activity for potential signs of abuse or manipulation, verifying that there is adherence to regulatory requirements and internal policies and taking action to mitigate market misconduct.

Accountabilities

Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct.
Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.
Business support in projects related to the firm’s market surveillance framework.
Regulatory query and internal/external audit support.
Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends.
Execution of appropriate controls aligned to the company’s control framework and related firm-wide standards.
Control environment support in relation to data quality, model effectiveness and efficiency.

Will have an impact on the work of related teams within the area.
Partner with other functions and business areas.
Takes responsibility for end results of a team’s operational processing and activities.
Escalate breaches of policies / procedure appropriately.
Take responsibility for embedding new policies/ procedures adopted due to risk mitigation.
Advise and influence decision making within own area of expertise.
Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct.
Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function.
Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
Make evaluative judgements based on the analysis of factual information, paying attention to detail.
Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents.
Guide and persuade team members and communicate complex / sensitive information.
Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.

You’ll assist the Japanese surveillance team for inspections and regulatory enquiries, and ensure that the local surveillance related framework and procedures are appropriately maintained and improved to guarantee effective and efficient surveillance. You’ll work closely with Japan surveillance team colleagues, and multiple stakeholders in Compliance teams, front office colleagues and APAC/Global surveillance teams required.

Your experience in the financial industry, including coverage in market areas in equity or listed derivatives product area, will be critical in this role. Exceptional verbal and written communication skills in English will be instrumental and native-level verbal and written communications skills in Japanese will be essential to interact with local regulators.

This role will be based in our Tokyo office.

Key skills required for this role include:

Risk and Controls
Data Governance
Policies & Procedures
You may be assessed on key critical skills relevant for success