Equity Trade Surveillance

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¥10M - 15M / annum



Date Posted:

August 16, 2018

Employment Type:


Job Reference:


Staffing Area:

Banking and financial services


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


  • 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


Ote Center Bldg, 22F 1-1-3 Otemachi Japan, Tokyo 100-0004 +813 5219 6633