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Head of Trade Surveillance Japan

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Job Description

A exciting opportunity to be the new manager of a recently restructured trade surveillance team at a leading financial institution in Japan.


  • Manage a team responsible for overseeing the daily surveillance of equities, derivatives, and fixed income trading to ensure compliance with regulatory and exchange requirements.
  • You will be required to manage exceptions and other surveillance reports to monitor for compliance with firm policies, procedures, and relevant rules, laws, and regulations.
  • Liaise with Compliance colleagues, front office staff, and other stakeholders to investigate surveillance alerts as necessary. You will be responsible for resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate.
  • To excel in this role, you will be required to maintain effective and constructive working relationships with staff located in other regions across a range of levels. You will work with key stakeholders such as Compliance Coverage, Business Risk Management, Technology, and third-party vendors to identify, design, and implement enhancements to the surveillance program.

Required skills

  • The ideal candidate should have strong analytical skills to evaluate data and propose improvements to the surveillance process. You should also have practical knowledge of the Japanese financial industry, products, and exchange/surveillance regulations.
  • Fluency in Japanese and English.
  • 5 years of relevant experience in the financial industry, with an understanding of equity and/or fixed-income products.

Preferred skills

  • Current or prior exposure to Japanese banking compliance is a distinct advantage.
  • Comprehensive understanding of regulatory requirements and regulatory environment in Japan.
  • Experience using third-party trade surveillance tools

Personal Attributes

  • The ideal candidate should possess strong relationship-building skills and the ability to develop and foster trust-based relationships with the various business lines supported. You should be able to influence at all levels without direct authority and handle highly confidential and sensitive information.

About our client

A leading global financial intuition offering investment banking and global market financial solutions for clients in Japan.


Consultant Details

Consultant Details

Steven Howden
Steven Howden