Trade Surveillance – Associate to VP

Position Responsibilities

• Lead and manage Japan compliance systems and programs to comply with applicable legal, regulatory and internal requirements
• Communication monitoring
• Daily Trade Surveillance
• Regulatory enquiries
• Actively participating in global application enhancement project
• Liaise with Front Office, IT, and Compliance colleagues such as Advisory Compliance, Control Room etc.
• Proper and Timely escalation and reporting without hesitation

Requirements

• Ability to work as a team player (for example, willingly share knowledge and experience with colleagues)
• Willingness to be a team leader with broad experience and knowledge in future
• Ability to work independently and proactively based on proper prioritization
• Ability to tackle unforeseen and hard tasks calmly with resilience
• Good at reporting and escalation to local and regional Compliance management and supervisors.
• Willingness to be involved in team as well as departmental projects within and outside of Surveillance space

For more information, contact bart.ciebien @ roberthalf.jp