As a Barclays Compliance Surveillance Analyst, you will work with a team that performs surveillance for Japan markets and employees, which includes equity, market derivatives, bond, FX, control room and e-communications surveillance. Your focus will be mostly on e-communication surveillance. You will be accountable for ensuring frameworks and procedures for regulatory requirements and establishing higher levels of controls.
Barclays is one of the world's largest and most respected financial institutions, with 329 years of success, quality and innovation behind us. We offer careers that provide endless opportunity – helping millions of individuals and businesses thrive, and creating financial and digital solutions that the world now takes for granted.
What will you be doing?
- Working closely with Surveillance Team colleagues, and the APAC/ Global Surveillance Teams to discuss controls and frameworks
- Ensuring that day-to-day surveillance is performed while maintaining proper records
- Escalating suspicious transactions/ communications identified and discussing them with Surveillance Team colleagues to take necessary actions
- Keeping up to date with regulatory environment around market manipulations and other relevant regulations, as well as requirements/ expectations for surveillance
- Supporting Surveillance Team colleagues, especially on improving frameworks and procedures, including IT enhancements
- Supporting colleagues by responding to regulatory enquiries on surveillance for periodical and ad-hoc interactions and onsite/ offsite inspections
What we are looking for:
- Working knowledge of market areas preferably in equity or listed derivative products
- Some experience in interacting with regulators relating to inspections, trade enquiries or regulatory reporting/ filing
- Good skills in understanding relevant laws and regulations
- Bachelor degree or higher level
Skills that will help you in the role:
- Working experience in e-communications surveillance
- Knowledge of key global and/ or APAC regulatory rules and regulations
- Pragmatic approach in problem solving; proactive and collaborative approach to lead projects
- Effective in a fast-paced, complex environment and across a wide variety of interpersonal styles and approaches; comfortable working at all levels of an organization
Our office is located in the Roppongi Hills building complex, one of the largest property developments in Japan, with modern and secure offices. The surroundings are known to be highly commercial, with restaurants, shops, gyms, and places to relax.