VP, Control Room Compliance

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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.


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


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 : +813 5219 6633