- Nov 25, 2022
- ¥14M to ¥17M
A new opportunity to work as a senior compliance office within a top investment bank, executing surveillance and testing for insider trading.
- Take a senior role within the Asia Independent Testing team, responsible for managing the surveillance program, focused on insider trading and control room.
- Develop a robust 2nd-line risk management program for the management/prevention of insider trading and restricted and watchlist surveillance for all Global Market product lines.
- Execute daily surveillance tests, identifying risks and communicating with surveillance and control room heads to mitigate any issues.
- Act as a subject matter expert for all surveillance and control room activities, advising business heads and senior executives.
- Complete forensic analysis to understand deficiencies in the surveillance and control room infrastructure and advise project/technology teams on areas to improve governance and control.
- Support preparation of audits, working closely with 3rd-line.
- Strong track record within compliance and deep knowledge of primary and secondary markets business lines.
- Ability to build strong relationships with senior stakeholders in the organisation in Japanese and English.
- Understanding of local rules and regulations relating to surveillance and control room.
- Thorough understanding of surveillance tools.
- Risk Management mindset with the ability to identify gaps in the current surveillance and control room framework.
About our client
A leading global investment and corporate bank with a strong business in Japan.
Morgan McKinley Asia Pac is acting as an Employment Agency in relation to this vacancy.