Trade Surveillance Officer

  • Competitive
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Morgan McKinley - Tokyo
  • 20 Oct 18

Trade Surveillance Officer

A top tier global bank is searching for an individual with a strong front / middle office securities experience that is interested in pursuing a career in Compliance

Roles/Responsibilities

  • Undertake strategic monitoring and surveillance activity of the Business to help identify and prevent non-compliance issues arising
  • Collaborate closely with the Compliance department, as well as IT and Business, to maintain a healthy surveillance infrastructure
  • Document and report alerts to Compliance management
  • Liaise with key regulatory authorities
  • Coordinate the counterparts globally to develop improved surveillance models and enhance systems

Required skills
  • 5+ years experience in trade surveillance or financial services, ideally in securities front office (sales & trading) or middle office (trade support / settlement)
  • Excellent attention to detail and an ability to analyse large quantities of information
  • Strong communication skills in both English and Japanese

Personal Attributes
  • An ideal opportunity for someone with a good understanding of sales & trading in the securities industry and an interest in being a key part of the defensive infrastructure of a top tier international bank

About our client

A global bank with a deep and respected presence in the Tokyo securities market

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