Compliance Officer - Fixed Term Contract

Job Objectives

As a member of the Compliance team at Jefferies Japan, this Compliance Officer position is expected to take responsibilities including () business advisory such as providing Compliance training and advice on the business activities, () trade surveillance on potential market abuse including market manipulation and insider trading, () research compliance including chaperoning of communication with IBD, research clearance, and () central compliance tasks such as regulatory filing, personal account dealing, supporting regulatory inspection preparation as well as other administrative tasks relating to Compliance operation at Jefferies Japan.

Key Responsibilities

• Provide compliance advisory to employees of Equity, Fixed Income, Research and Investment Banking division to foster Compliance culture in Jefferies Japan.
• Provide Compliance Training to front-office and support staff.
• Perform Trade Surveillance to monitor potential market abuse including market manipulation and insider trading, in accordance with Trade Surveillance regulations of Japan Securities Dealers Association.
• Review and approval of Error Processing.
• Research Compliance tasks such as chaperoning communication of Research employee with an employee of Investment Banking Division, clearance of Research, and providing general compliance advice.
• Central Compliance tasks such as employee license registration, PA dealing review.
• Regulatory filing including Large Shareholder Reporting, Short Position Reporting and Suspicious Transaction Reporting.
• Supporting regulatory inspection preparation.

Qualifications, Skills & Requirements

Language