Control Room Compliance - AVP

Job Description

A new opportunity to join a leading foreign investment bank in Japan that has created this new Control Room position to support the growth of the business.

Roles/Responsibilities

• The Control Group Research and Investment Banking Coverage team is responsible for continuous oversight and maintenance of Watch and Restricted Lists, involving effective collaboration with private deal teams and other pertinent compliance or business unit contacts.
• Thorough documentation and timely notifications following the Firm's Wall Crossing policies and procedures.
• Scrutinizing Fixed Income and Equity Research to ensure alignment with the Firm's Watch and Restricted List, ensuring compliance with securities regulations and internal policies like the M&A Research Policy.
• Acting as chaperones and gatekeepers for permissible interactions between Research and the Private Side, in accordance with the Global Research Settlement and relevant internal guidelines.
• Conducting pre-clearances of employee trades for business units or individuals requiring Control Group oversight due to their private side, Above-the-Wall, or Over-the-Wall status.

Required skills

• Minimum of 3 - 5 years working in a control room, or a function in the bank which gives you insight into the working of IBD, research, and secondary markets.
• Fluent proficiency in both Japanese and English.
• Demonstrated proficiency in analyzing trade data and trade-related information for aspects like information sharing, front running, and wall crossing

About our client

A leading foreign financial institution with a growing business in Japan and Asia.