Your role

Are you risk averse but risk aware? Do you specialize monitoring & surveillance? We are looking for someone like that to:

  • Manage & Represent Japan Monitoring Surveillance & Control (“MS&C”) team as the team head in closely liaison with APAC MS&C team and local business aligned Compliance.
  • Report directly to the APAC MS&C head (and/or its delegates) and locally to Japan Compliance management.
  • Supervise Japan MS&C teams’ activities in each monitoring area to meet both the firm’s global minimum standard and local regulatory requirement.
  • Represent Japan MS&C team to handle with regulatory inquiries, onsite/offsite inspections, or internal audit etc in Japan.
  • Escalate the result of the monitoring periodically to relevant stakeholders including APAC MS&C team, local business & Compliance management, and local regulators etc.
  • Represent the Japan MS&C related projects (e.g. implementing new Equities trade surveillance system, etc).
  • Participate in the industry-wide held Working Groups as necessary and reflect the feedback in daily monitoring procedure.a

Your experience and skills

You have:

  • experience in risk management, risk control, audit or compliance of financial industry. More than 3 years’ experience in management of trade surveillance (especially Equities area) is mandatory.
  • experience in the team management in closely liaison with local and APAC colleagues.
  • sound know-how in the analysis of the filtered cases in Japan MS&C by the defined requirement.

You are:

  • able to manage the team in closely communicating with colleagues globally and/or internal & external stakeholders to provide the monitoring with good quality in Japan.
  • reliable, resilient, result-oriented and team-player.
  • fluent in English & Japanese (native level).
  • A holder of qualification of JSDA class 1 and/or JSDA internal administrator.
  • proactive in challenging and changing the status quo of monitoring scopes & procedures in Japan MS&C to conduct the daily monitoring effectively.

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