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Surveillance and Testing - VP

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Job Description

A new opportunity to work as a senior compliance office within a top investment bank, executing surveillance and testing for insider trading.

Roles/Responsibilities

  • 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.

Required skills

  • 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.

Preferred skills

  • Thorough understanding of surveillance tools.

Personal Attributes

  • 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.

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Consultant Details

Consultant Details

Steven Howden
Steven Howden
  • Director | Financial Services Recruitment