Control Room Compliance - Global Investment Bank | Michael Page Japan の求人詳細


キービジュアル キービジュアル
更新日 2018-08-31
掲載開始日 2018-08-31

Control Room Compliance - Global Investment Bank

  • ★★ スタッフレベル
Michael Page Japan
企業名 会社名非公開
Michael Page Japan
法務 - 法務(コンプライアンス)
業種 銀行・証券関連
勤務地 アジア 日本 東京都

仕事内容 Global investment bank with an established presence in Japan is looking to hire someone for their control room. Prior compliance is experience is preferred but may also consider candidates with experience in other areas of investment banking who are looking to transition into a role within compliance.


* Engaged in the daily operation of the control room including but not limited to review of insider lists, wall crossings, monitoring and surveillance, disclosures reviews, media requests

* Review research publications, active involvement in research clearance

* Assist in review and provision of solutions to local and global policy and procedural developments

* Provide guidance and timely responses to ad hoc queries from the front office including those related to trading and the restricted list, banking requests for chaperoning and data requests from research

* Perform conflict reviews of transactions and/or business activities in the context of all other known relevant pitches and/or mandates as well as the firm's lending, trading exposure and other activities

* Identify and where appropriate, manage potential conflicts of interest that may arise within the Investment Bank

* Provide advice to the business on conflict issues as well as the appropriate management and/or resolution of conflict issues

* Implement conflicts management measures, such as deal team separation, transaction-specific Chinese Walls, disclosures, consents, etc.


* Prior Legal or Compliance experience within an investment banking preferred

* Oral and written communication skills in Japanese and English
* Strong communication skills and ability to interact with senior front office staff as well as work closely with other areas of Compliance and infrastructure functions
* Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Policies
* Detail orientated and ability to meet deadlines in challenging situations
* Pro-active and good team player

Job Offer

* Modern office located in central Tokyo

* Competitive salary package
* Good career prospects

応募は、以下の応募ボタンからお願いします。詳細につきましては、Andy Clubbeにお問い合わせください+813 6832 8671
Our client is a global corporate and investment bank that provides a range of products and financial services to their government, institutional and corporate clients
英語能力 ビジネス会話 (TOEIC 735-860)
日本語能力 ネイティヴレベル
中国語能力 なし
年収 経験と能力に基づく   

Control Room Compliance - Global Investment Bank