Compliance Control Room Officer
仕事内容
Your responsibilities include:
• Evaluate Research reports for potential conflicts with the Watch and Restricted List. Subject reports come from all over the world including Americas and Asia Pacific.
• Transaction review and maintenance in Deal Management System
• Review and approve wall-crossing requests from banking business and trade requests on Restricted List.
• Manage Watch list and Restricted List with considering materiality of information in line with timely disclosure rules applicable on Japanese listed companies.
• Review Cross Divisional Conflict Clearance requests
• Providing daily support to the APAC Control Room workflow including training
• Providing ad hoc support to Control Room projects including Chinese Wall designation review and surveillance alerts escalations
• Providing support during regulatory inspections
応募資格(必須経験など)
To excel in this role, you should possess:
・ Control Room and/or banking compliance experience is preferred. Especially counting experiences worked on global common standards/procedures with regional/global team crafted on US regulations
・ Knowledge on non-Japanese companies as well as their corporate actions (i.e. looked into them as comparable for Japanese companies / Reading news flow on non-Japan stock markets) is another preference, which may help you while reviewing research reports from APAC/Americas
・ Proven ability to handle confidential information and matters with discretion
・ Ability to work independently and interact with all levels of management in a professional and positive manner
・ Outstanding collaborator with strong interpersonal, written and verbal communication, presentation skills, detail oriented, with strong follow-up
・ Expert in analytical, problem solving and project management skills
・ Can work under pressure in a fast paced and dynamic environment
・ You are result oriented, dedicated, hardworking and can work on own initiative whilst also delivering on time with a high level of integrity, sense of urgency, attention to detail and quality standards
・ You will be liaising with Japanese and English-speaking clients
・ Dedication to fostering an inclusive culture and value diverse perspectives.