VP, Control Room Compliance


Salary/Rate : ¥13M - ¥16M
Location : Tokyo Metropolis
Post Date :
Employment Type : Permanent
Job Reference : 21186-FS
Job Classification : Financial Services

Description :

Duties & Responsibilities

  • Monitor for actual and potential breaches in the Chinese Wall
  • Ensure that all research conforms to the regulations on registrations, licensing etc, and FIEL, JSDA Rules and US Regulations
  • Ensure that all research adheres to internal policy and research guidelines
  • Advising Research and Investment Banking on research independence issues in cooperation with IB Compliance
  • Liaising with Editorial, Heads of Research and Investment Banking/Capital Markets or Sales/Traders on potential reputational/conflicts and Chinese Wall issues
  • Maintaining the Firm's Grey and Restricted Lists through deal updates from bankers, liaison with Conflicts Office; advising business groups on the impact of the Grey and Restricted Lists on sales, trading and research
  • Providing Compliance training
  • Providing trade surveillances for both the Firm and personal accounts against the Grey list
  • Approving advertising, press releases and contacts with media to ensure conformity with applicable regulations and identify potential conflicts.

Qualifications

  • JSDA Internal Control Manager qualification
  • Preferably prior compliance experience
  • Knowledge of Japanese Firewall Regulation and/or Conflict of Interest would be plus.
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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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