Overview

This role is based in Tokyo in order to undertake the strong team leadership and business connectivity to the critical mass and complexity of the markets business in the region.

Key Accountabilities:

  • Member of the Japan Markets Compliance team
  • Provide regulatory advice with respect to issues raised by the relevant business areas. Liaise with key members of the business and infrastructure on any related regulatory issues.
  • Build strong relationships with Markets management regionally and globally
  • Evaluate and escalate issues to regional and global management as appropriate
  • Work closely with senior management team in other infrastructure areas supporting Japan Markets
  • To ensure the Japan Markets businesses are being reviewed by the team or compliance review team on periodic basis to ensure compliance with local and global rules and regulation
  • Review responses to regulatory queries/investigations
  • Review and formulate local policies and to consult on global policies
  • Provide ad hoc training to the sales and trading business as necessary

Person Specification:

  • University degree required
  • Graduate degree preferred (e.g., law, business)
  • Minimum 3 years working in investment banks/brokers/regulators.
  • Language skills (Fluent in both Japanese and English).
  • Understanding of both the key regulatory frameworks in both Japan and Global or good understanding of the business/products that are related to Equity, Electronic/Algorithmic Trading business or FICC business in Japan and products traded with respect to the Japan Markets business preferred.
  • Quick thinker with ability to understand complex transactions and explain compliance issues clearly and concisely.
  • Good writing skills. Experience of writing in communication with regulator or management information preferred.
  • Excellent organizational skills, able to manage daily queries with ongoing projects
  • Sound decision-making skills balancing commercial needs with the need to maintain a strong control infrastructure
  • Good Team player

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