Equity Trade Surveillance


Salary:

¥10M - 15M / annum

Location:

Tokyo

Date posted:

October 4, 2018

Employment type:

Permanent

Job reference:

21157-FS

Specialisation:

Banking and 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


Tokyo

Ote Center Bldg, 22F
1-1-3 Otemachi
Chiyoda-ku, Tokyo
100-0004
+813 5219 6633
Global Branding Manager
Tokyo
Permanent
February 15, 2019
Accounting Manager
Tokyo
Permanent
February 14, 2019
Global Omnichannel Marketing Lead
Tokyo
Permanent
February 12, 2019
Finance Director
Tokyo
Permanent
February 12, 2019
Financial Analyst
Tokyo
Permanent
February 12, 2019
Accounting Manager
Tokyo
Permanent
February 12, 2019
Senior Accountant
Tokyo
Permanent
February 12, 2019
Senior CRM Omnichannel Marketing Lead
Tokyo
Permanent
February 12, 2019
Accountant
Tokyo
Permanent
February 12, 2019
Controller (Finance & Administration Division)
Tokyo
Permanent
February 8, 2019
See more jobs >