この求人はお住まいの国からは応募できません。

Compliance Officer, Japan

TP ICAPTokyo

19日前

職務内容の詳細

Role Overview

This role will work as a member of the Compliance team to foster a compliance culture within TP ICAP　Group’s companies, with particular responsibility for the compliance activities of Liquidnet Japan.

Liquidnet is a leading technology-driven, agency execution specialist that intelligently connects the world’s investors to the world’s investments. Since our founding in 1999, our network has grown to include more than 1,000 institutional investors that collectively manage $33 trillion in equity and fixed income assets. Our network spans 46 markets across six continents. We built Liquidnet to make global capital markets more efficient and continue to do so by adding additional participants, enabling trusted access to trading and investment opportunities, and delivering the actionable intelligence and insight that our customers need.

Role Responsibilities

Internal control manager ICM of Liquidnet Japan
Assist with the implementation and management of the TPICAP Compliance Monitoring Program
Ensure that the compliance function provide the a true 'value added' service to the TPICAP group
Assist and identify regulatory change events
Assist in the identification of upstream regulatory risk, and working to respond to or mitigate any such identified risks;
Deliver regulatory advice and compliance -related strategic support within the department Build / maintain effective working relationships with regulators; key internal stakeholders including Senior Management, Desk Heads , and support function Heads, internal and
external auditors and other members of the control functions to ensure a proper understanding of the risks and necessary mitigating measures necessary to facilitate and protect the business
Provide an active role as a member of the Compliance team, participating in relevant committee s, groups and fora as required
Assist in the delivery of the Compliance training for the various business units and conduct ad hoc training as and when required
Review the output from the Monitoring Programme and ensure that any remedial action necessary is carried out
Conduct periodic desk and or centre reviews
Review and assess any New Business Initiatives
Carry out face to face training of front office staff and, as required, senior management Attend business and control committees as required
Assist other areas of the control teams as required
Fulfil additional / ad hoc duties, project management as required to meet the needs of the business

Experience / Competences

Essential

Good English language skills are essential

Internal Control Manager exam at JSDA holder is required. Or be prepared to immediately take and pass the relevant JSDA exam to become an ICM

Minimum of 5 years’ experience in financial institution equity compliance or audit role or similar function, including at least 3 years in Japan

Good knowledge of JSDA and FSA FIBO guidelines and requirements relating to equity execution broking and electronic trading

Understanding of regulatory framework governing IT systems and front, middle and back office operations

Experience with interacting with FSA and JSDA, including inspection and incident Reporting

Desired

understanding of cash equity electronic trading (Algo, High touch, HFT and Dark pool) (if possible)

Knowledge of compliance framework and governance structure

Very strong interpersonal and communication skills

Strong and resilient personality with a high sense of integrity and independence

Strong organisational skills and ability to successfully prioritise and manage multiple projects.

Good team player with positive attitude and self-motivation

Motivated self-starter, proactive and able to multi-task in fast moving environment

Willing to accept responsibility and looking to develop role within growing department with promising growth potential

Job Band & Level : Professional & 5

LNET

この検索に対してジョブアラートを作成する

Japan • Tokyo