【JPモルガン・アセット・マネジメント】Control Room Compliance, Associate, Japan
仕事内容
Job Summary:
The Global Control Room has offices in London, Paris, New York, San Francisco, Hong Kong, and Tokyo and operates under a global framework of policies and procedures. The Control Room supports the Firm’s Information Barriers to prevent the flow of material non-public information (MNPI) from private to public areas. The core processes of the Control Room are to maintain the Watch and Restricted Lists, review research relating to Watch and Restricted List companies, support Barrier Crossings, chaperone communications between Investment Banking and Equity Research and record keep the Public/Private designations for the Firm.
These functions preserve the Information Barriers and facilitate adherence to applicable laws and regulations globally.
Job Responsibilities:
In this role you will be reporting to the Head of the Japan Control Room and you will be responsible for:
Maintaining and monitoring the firm's information barriers / barrier crossings/ flow of non-public information
Pre-clearing permitted communication between banking and research
Obtaining deal updates from bankers
Implementing necessary sales, trading and research restrictions,
Research clearance
Proactively working with other Control Room teams in the US, EMEA and Asia to create a cohesive global Control Room team operating and applying consistent policies and procedures
Participating in the conduct of internal and external enquiries and investigations as necessary
Participating in the Compliance team training efforts and taking responsibility for providing training to various business areas in specific areas of expertise
応募資格(必須経験など)
Required skillset, qualifications and capabilities:
Attention to detail, good administrative skills and analytical approach to problem solving. Aptitude to identify real issues and know when to escalate
Ability to meet tight deadlines and to make quick and reasoned decisions under pressure
Good interpersonal skills, confident personality, highly motivated and organized
A team player, but able to operate under own initiative
Awareness of regulatory and internal control requirements, particularly in relation to effective information barrier arrangements and management of conflicts of interest
Japanese and English language abilities is preferred
A minimum of 3 years experience within compliance or controls related fields