A Tier-1 global investment bank is seeking a Trade Surveillance Vice President to play a key role in protecting market integrity and strengthening regulatory compliance across global trading activities. This position offers the opportunity to work at the intersection of financial markets, compliance, surveillance technology, and data analytics, helping to identify market misconduct risks and enhance surveillance frameworks across multiple asset classes.
You will collaborate closely with Compliance, Legal, Risk, Technology, and Front Office teams while leveraging advanced analytical tools and market expertise to support a robust control environment within one of the world's leading financial institutions.
Key Responsibilities
- Monitor and investigate trading activity across Equities, Fixed Income, Derivatives, and other asset classes to identify unusual behavior, potential misconduct, or regulatory breaches.
- Conduct detailed reviews of trading and market data to detect patterns, anomalies, and emerging conduct risks.
- Enhance surveillance models by refining detection scenarios, calibrating alert parameters, and improving monitoring effectiveness.
- Partner with Technology teams to strengthen surveillance platforms, optimize data architecture, and implement new monitoring capabilities.
- Support regulatory examinations and inquiries by preparing analysis, documentation, and responses for regulatory authorities.
- Collaborate with Legal, Risk, Compliance, and business stakeholders on governance initiatives, thematic reviews, and remediation activities.
- Contribute to strategic projects aimed at strengthening surveillance controls and regulatory compliance frameworks.
Required Skills and Qualifications
Experience:
- Minimum 5 years of experience within Financial Services, preferably in Trade Surveillance, Compliance, Market Risk, Financial Crime, Regulatory Control, or related functions.
- Strong understanding of financial markets, trading activities, and market conduct risk management.
- Hands-on experience using SQL or similar query tools for data extraction, investigation, and analytical purposes.
- Experience analyzing large volumes of transaction and market data to identify trends, irregularities, and potential misconduct.
- Knowledge of financial products across Equities, Fixed Income, Derivatives, or other capital markets products.
Soft Skills:
- Strong analytical and investigative skills with excellent attention to detail.
- Effective communication and stakeholder management capabilities.
- Ability to present complex findings clearly to senior management and regulatory stakeholders.
- Strong problem-solving skills and ability to work independently in a fast-paced environment.
- Collaborative mindset with the ability to work across global and cross-functional teams.
Language Requirements:
- Japanese: Fluent.
- English: Fluent.
Preferred Skills & Qualifications
- Knowledge of Japanese financial regulations, market structure, and regulatory expectations.
- Experience working with surveillance systems, monitoring platforms, or compliance technology solutions.
- Experience supporting regulatory examinations, audits, or remediation programs.
- Familiarity with data analytics, surveillance optimization, and financial crime monitoring methodologies.
About the Company
Our client is a Tier-1 global investment bank with a strong presence in Japan and a leading position within international capital markets. The firm is recognized for its world-class financial products, sophisticated trading businesses, and commitment to maintaining the highest standards of market integrity and regulatory compliance.
Employees benefit from working alongside top-tier professionals in a highly collaborative global environment while gaining exposure to complex market activities and innovative surveillance technologies.
Why You'll Love Working Here
- Join a globally recognized Tier-1 investment bank.
- High-visibility role with direct impact on market conduct and regulatory compliance.
- Exposure to Equities, Fixed Income, Derivatives, and global trading businesses.
- Opportunity to improve surveillance frameworks and influence strategic compliance initiatives.
- Direct engagement with regulators and senior stakeholders.
- Collaborative international culture with strong career development opportunities.
- Access to advanced surveillance technology, analytics tools, and complex market data.
- Flexible working environment with excellent long-term career prospects.
Don't Miss Out - Apply Now!
