Surveillance and Testing - VP

Job Summary

• Tokyo
• Permanent
• BBBH826520
• Nov 25, 2022
• ¥14M to ¥17M
• English: Intermediate/Business
  Japanese: Fluent

Job Description
A new opportunity to work as a senior compliance office within a top investment bank, executing surveillance and testing for insider trading.

Roles/Responsibilities

• Take a senior role within the Asia Independent Testing team, responsible for managing the surveillance program, focused on insider trading and control room.
• Develop a robust 2nd-line risk management program for the management/prevention of insider trading and restricted and watchlist surveillance for all Global Market product lines.
• Execute daily surveillance tests, identifying risks and communicating with surveillance and control room heads to mitigate any issues.
• Act as a subject matter expert for all surveillance and control room activities, advising business heads and senior executives.
• Complete forensic analysis to understand deficiencies in the surveillance and control room infrastructure and advise project/technology teams on areas to improve governance and control.
• Support preparation of audits, working closely with 3rd-line.

Required skills

• Strong track record within compliance and deep knowledge of primary and secondary markets business lines.
• Ability to build strong relationships with senior stakeholders in the organisation in Japanese and English.
• Understanding of local rules and regulations relating to surveillance and control room.

Preferred skills

• Thorough understanding of surveillance tools.

Personal Attributes

• Risk Management mindset with the ability to identify gaps in the current surveillance and control room framework.

About our client
A leading global investment and corporate bank with a strong business in Japan.

Morgan McKinley Asia Pac is acting as an Employment Agency in relation to this vacancy.