VP, Control Room Compliance


給与 : ¥1300万 - ¥1600万
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 : 21186-FS
業種 : 金融

職務内容 :

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.
この求人への応募をもって、あなたはロバートハーフの利用規約に同意されたことになります
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

類似案件