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Compliance Monitoring and Surveillance

Job Seekers Japan Legal & Compliance Investment Banking

Job Description

Experienced team known for both their reliability and stability is looking for a proactive, bilingual compliance monitoring and surveillance member

Roles/Responsibilities

  • Oversee daily surveillance of equities, derivatives, and fixed income trading
  • Maintain effective working relationships with local and overseas department members
  • When necessary, conduct detailed incident reviews
  • Provide support to the legal and compliance team through conducting ad-hoc trading reviews
  • Monitor compliance with firm policies, laws, and regulations through managing surveillance reports

Required skills

  • At least 5 years of relevant experience in the financial industry

About our client
Top tier multinational investment bank offering good career development prospects, and wider corporate and employee benefits

Morgan McKinley Asia Pac is acting as an Employment Agency in relation to this vacancy.

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Consultant Details

Consultant Details

Amanda Lee
Amanda Lee
  • Consultant | Legal & GRC Recruitment
  • 813 4550 6589
  • alee@morganmckinley.com