Compliance - Control Room Officer - Associate

Description

Details of the Division and Team:

You are the member of Compliance Japan.

Compliance Department Japan performs a wide-ranging activity such as

a) providing advice in relation to the interpretation of compliance policies and local regulations to business including administration of the approval process to help enforce Chinese Wall and Fire Wall compliance and best conflicts of interest control,

b) trade surveillance of listed derivative trading including response to inquiries from supervisory authorities / Self Regulatory Organizations,

c) testing undertaken to confirm whether Business is following the rules and regulations applicable to an activity or practice and

d) holding discussion and negotiations with, and respond to inspections from supervisory authorities such Financial Services Agency and Securities and Exchange Surveillance Commission etc.

Compliance Department currently comprises Head of C...