Macquarie Capital Securities Japan (“MCSJL”) has an opportunity within the Compliance department for a junior equity compliance advisory role.
Initially, you will focus on Cash Equity trade surveillance and progressively take on more advisory and oversight responsibilities. Cash Equity trade surveillance responsibilities will include conducting daily trade surveillance and handling irregular trade alerts identified from the surveillance. You will be dealing with inquiries from regulators such as TSE, SESC, and engaging in other monitoring or control activities such as communication monitoring and access review.
You will also provide support to central compliance, working closely with the Asia Compliance team to ensure consistent application of regional and global policies and practices in Japan. You will manage, coordinate and file regulatory reports with financial authorities including FSA, JSDA, JPX, etc. on a regular and ad-hoc basis. You will monitor regulatory changes affecting business and evaluate the potential impact and coordinate proper dissemination of those and necessary update of relevant internal rules.
Joining as part of a small team of compliance professionals and report into the Head of Compliance, Japan, it is expected that you will carry out and engage in various administrative tasks relating to compliance operations and regulatory and transactional issues and queries.
You should have a minimum of 1 - 3 years’ experience in a global investment bank, preferably within the compliance department. You should have a good level of knowledge and experience in Cash Equity trade surveillance or Cash Equity trading related expertise or knowledge. You should also have a good understanding of Japanese rules and regulations relating to the equity business and trading generally. Experience of engagement for regulatory inspections such as FSA, SESC, SRO would be highly valued. Some experience or understanding of Central Compliance at a global financial institution would also be considered.
You are expected to be self-motivated, have a desire to learn and to work independently or as a team. Outstanding interpersonal and communication skills with a fluency in Japanese (reading/writing about the local regulations and guidelines) and business level English is required.
About the Risk Management Group
The Risk Management Group (RMG) is an independent, centralised unit responsible for ensuring all risk across Macquarie are appropriately assessed and managed. Its divisions include Behavioural Risk, Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Regulatory Affairs and Aggregate Risk, and RMG Enterprise Support.
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