Equity Trade Surveillance


給与 : ¥1000万 - ¥1500万
勤務地 : 東京都
掲載日 :
雇用タイプ : 正社員
ジョブオーダー番号 : 21157-FS
業種 : 金融

職務内容 :

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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印刷

東京

大手センタービル 22F
東京都千代田区大手町 1-1-3
100-0004 東京
電話 : 03 5219 6633

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