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Compliance division, Securities Division Compliance, FICC Compliance, Associate/Vice President, Tokyo
Finance & Investment Industry Company
Tokyo, , Japan
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Job Summary & Responsibilities
The Company Group is a bank holding company and a leading global investment banking, securities and investment management firm. Company provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world. We are committed to growing our distinctive Culture and upholding our core values which always place our client's interests first. These values are reflected in our Business Principles, which emphasize integrity, commitment to excellence, innovation and teamwork.
Securities Division Compliance is located on the Trading Floor and is responsible for comprehensively identifying and managing the regulatory, legal and reputational risks of the Securities Division. The role is focused on providing Compliance coverage for the FICC Division’s functions (such as sales, trading, and principal investment) and products (such as fixed income securities and credit derivatives, FICC-equity hybrid products, currencies, commodities, options, futures, and swaps). This is an opportunity for a responsible team player without Compliance experience to become a Compliance professional while working on challenging tasks and, depending on their particular responsibilities, interact with sales people and traders as well as other Company compliance and legal professionals, both in and outside Japan.
The primary responsibilities of Securities Division Compliance are:
• Review daily trade surveillance reports
• Identifying and investigating suspicious activities
• Develop compliance-related policies and procedures
• Develop and implement compliance training
• Give advice to Securities Division personnel on compliance issues regarding transactions, new products, errors, etc.
• Interface with Japanese regulatory authorities regarding regulatory inspections, questions on regulations, lobbying for regulatory change, etc.
• Identify and manage regulatory, legal and reputational risks
The actual responsibilities assigned to the successful candidate will depend on their experience and the needs of Securities Division Compliance at the time. Candidates who stay in Securities Division Compliance will, over time, have the opportunity to engage in most or all of the activities above.
Basic Qualifications
• Good communication skills
• Fluency in Japanese and English
• Desire to work on the trading floor, interacting directly with salespersons and traders in an often fast-moving environment
• Ability to work with a variety of senior and junior people both in Federation and Business side, and build smooth working relationships
• Proactive attitude (“self-starter”)
• Ability to think through issues logically and make decisions on their own, and make necessary escalation
• Ability to handle multiple tasks simultaneously and work under tight deadlines
• Good PC skills
• Attention to detail
Preferred Qualifications
• 4-5 years of experience in financial industry.
• No compliance experience necessary, but candidates with experience with fixed income and/or derivatives products are recommended.
Company is an equal opportunity employer. © The Company Group, Inc., 2017. All rights reserved