Markets Compliance - VP

  • Negotiable
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Morgan McKinley - Tokyo
  • 30 Nov 17 2017-11-30

Compliance manager position reporting into the Head of Compliance in Japan, responsible for ensuring all parts of the market business are compliant with local and global regulations.

Compliance manager position reporting into the Head of Compliance in Japan, responsible for ensuring all parts of the market business are compliant with local and global regulations.

Roles/Responsibilities

  • Develop a deep understanding of the business, including the deals and transactions made, in order to analyse the impact of regulations.
  • Advise the business on these regulations and what can and can't be done.
  • Complete communication and transaction surveillance.
  • Develop solutions to regulatory issues concerning complex cross-border transactions.
  • Understand new technological advancements and how they can be employed within the scope of regulations.
  • Identify and assess key risk indicators.
  • Provide training to local staff.
  • Get involved in new-product approval process

Required skills

  • Strong background in financial services with an understanding of front to back business flow.
  • Knowledge of local regulations.

Preferred skills

Strong compliance background within capital markets or sales & trading.

About our client

Top tier global financial institution with a number of different business lines in Japan.