A leading global financial services company is seeking a Control Room Compliance Officer. The successful candidate will monitor and review public side activities to avoid or mitigate conflicts of interest in compliance of local laws and regulations.
* Review and maintain transactions in the deal management system
* Review and approve wall-crossing requests from banking business
* Maintain watch and restricted lists and review and approve trade requests on restricted list
* Review equity and fixed income research reports for ...
The successful candidate will work as a Representative Director to ensure that the company have a point of contact for all local communication and administrative requirements. The candidate will also provide advice on further development of Japanese company and will get involved in Company's daily ongoing business.
To succeed in this role, the candidate should be a reliable professional, preferably from the financial industry with relevant working experience, who is not afraid to speak their mind, stand by their decisions and provide advice on improve ...