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Head of Control Room and Research Compliance
- Broad exposure across the business
- Excellent career prospects
About Our Client
Our client is a leading global investment bank with an established presence in Japan and throughout the Asia-Pacific region. The firm offers a comprehensive range of financial products and services to their institutional and corporate clients.
*Overall responsibility for Control Room and Research Compliance as head of the team
*Enforce controls that are reasonably designed to prevent the misuse of Price Sensitive Information (PSI)
*Act as a key advisor to business groups as well as other Compliance colleagues on issues regarding Information Barriers, wall crossing procedures, sensitive information and Need-to-Know policy.
*Maintain Companies Restricted List and Watch List on a daily basis for the Japan region.
*Assist private-side businesses in determining the appropriate treatment of transactions
*Review potential client conflicts within the Bank, and liaising with the various businesses at times to resolve any real or perceived conflicts of interest.
*Provide chaperoning between IBD and Research whenever needed.
*Research and respond to inquiries from Research Department with real-time expertise and guidance
*Advise Research Department of regulatory requirements on a regular and a transaction-specific basis.
*Ensure timely and concise reporting and escalation of material Compliance matters
The Successful Applicant
*3-5+ years of compliance experience within a financial institution, preferably in Control Room, Research or both
*Proven knowledge of Japanese securities rules and regulations, especially those pertaining to JSDA and FIEA
*Fluent in English and Japanese
*Excellent interpersonal and communication skills with the ability to interact effectively with front office employees and senior management
*Work effectively in a team environment and foster effective working relationships
*Think analytically and provide advice based on sound judgment
*Ability to create and maintain Compliance policies, procedures and manuals
*Strong organisational and project management skills and attention to detail
*Ability to manage multiple open issues and projects at the same time and meet timely deadlines
*Ability to apply and build knowledge of regulations to numerous types of sales, trading, research and banking activities and transactions in addition to interpreting the effect of restrictions on these activities
What's on Offer
*Modern office located in central Tokyo
*International work environment
*Competitive salary package
*Good career prospects