Db
About Db
Company description not provided.
Job Summary
You are the member of Compliance Japan. Compliance Department Japan performs a wide-ranging activity such as:
- Providing advice in relation to the interpretation of compliance policies and local regulations to business including administration of the approval process to help enforce Chinese Wall and Fire Wall compliance and best conflicts of interest control.
- Trade surveillance of listed derivative trading including response to inquiries from supervisory authorities / Self Regulatory Organizations.
- Testing undertaken to confirm whether Business is following the rules and regulations applicable to an activity or practice.
- Holding discussion and negotiations with, and respond to inspections from supervisory authorities such as Financial Services Agency and Securities and Exchange Surveillance Commission.
Key Responsibilities
- Watch List / Restricted List Management including PSI / Inside Information designation and surveillance.
- Wall Crossing Administration.
- Conflicts of Interest Control Advisory related to Price Sensitive Information control.
- Industry and regulatory liaison related to information control.
- Research Clearance Advisory related to Research compliance issues.
- Communication monitoring to Research Analyst.
- Review Research analyst’s interview memo.
Benefits & Perks
- Corporate Group Insurance – premium borne by company.
- Annual health checkup – cost borne by company (once a year; conditions apply).
- Flexible Work Arrangements – various ways to work, to fit employees.
To apply for this job please visit db.wd3.myworkdayjobs.com.