Trade Surveillance, Compliance - Global Securities | 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 2018-09-20
掲載開始日 2018-09-20

Trade Surveillance, Compliance - Global Securities

  • ★★ スタッフレベル
Michael Page Japan
企業名 Global Securities Firm
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 Trade surveillance compliance opportunity at a global broker dealer. International work environment working closely with regional colleagues.


* Monitor day-to-day transactions primarily on cash equities to ensure compliance with regulatory requirements and internal policies
* Prepare and submit necessary data related to trade surveillance upon inquiries from the local regulators
* Ad hoc translations for legal and regulatory related documentation
* Prepare and submit various regulatory reports such as Large Share Holding Reports, Short Sale Reports etc.
* Monitor changes in applicable regulations, rules and regulatory interpretations to ensure ongoing compliance
* Preparing monthly exception and regulatory audit reporting and quarterly activity reporting to management


* 2+ years of trade surveillance experience within a broker dealer

* Working knowledge of Japanese regulations related to securities and financial markets
* Ability to maintain confidence and hold position when challenged
* Self-motivated with the ability to work independently, determine priorities and meet deadlines
* Oral and written fluency in Japanese and English

Job Offer

* Opportunity to work with compliance colleagues across the region
* Good career prospects
* International work environment
* Competitive salary package

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 securities firm that provides and a range of financial products and investment solutions across multiple asset classes including cash equities, equity derivatives, fixed income and structured products for their institutional investors
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
年収 経験と能力に基づく   

Trade Surveillance, Compliance - Global Securities