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.
- 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
- 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