Equity Trade Surveillance


Salary/Rate : ¥10M - ¥15M
Location : Tokyo Metropolis
Post Date :
Employment Type : Permanent
Job Reference : 21157-FS
Job Classification : Financial Services

Description :

Duties & Responsibilities

  • Carry out daily Trade Surveillance covering the regulatory requirements using monitoring applications and procedures
  • Investigate and communicate issues identified from the monitoring and surveillance activities
  • Work closely with the Business and Compliance advisors to solve issues
  • Respond to regulatory and other inquiries
  • Carry out periodic reviews regarding the current programmes for enhancement
  • Plan and implement new surveillance programmes when necessary

Requirements

  • Experience in equity products gained in a compliance, front office, middle office or other function
  • Knowledge of relevant roles and regulations
  • Ability to explain relevant issues to various stakeholders and counterparts
  • Good communication skills in both Japanese and English
  • A proactive and enthusiastic person with sound judgment and analytical skills with an appreciation regarding details
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Tokyo

Ote Center Bldg, 22F
22F 1-1-3 Otemachi
100-0004 Tokyo
Phone : 03 5219 6633

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