TMJ Partners is a financial recruiter for Japan and Asia for more than 18 years. Focused on FinTech, Bitcoin, FX, Securities, Banks, Hedge Funds and Private Banks. Covering CEO, CAO, COO, CTO, CFO, CPA, Analyst, Marketer, Trader, Sales, Structuring, and Real Estate market positions in Tokyo, Hong Kong, Singapore, and Seoul.

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2087 - Job Japan Compliance Surveillance Officer Securities

  • Tokyo Minato-ku
  • 12M Yen

Expanding Global Securities firm is looking for a Bilingual Compliance Surveillance Officer in Tokyo. Major responsibilities are Equity Trade Surveillance and regulatory relations that will include reporting or responding to the request and inspections of local authorities. Full understanding of all differences & benefits between Trade Surveillance procedures and other related areas within Equity Capital Markets is expected. Smooth maintenance of relationships with any regulatory counterparts at the SESC & Japanese FSA,  will also be coordinated with. More than 5+ years of experience on related issues within asset management firms, investment banks, securities firms, institutional investors and other related parties would be expected.  The background can be flexible in this role. In addition, any knowledge about financial product laws and regulations for fund and securities products is required. Native Japanese and business level English is also expected.  For the latest updates on financial jobs and news on Japan & Asia, follow TMJ Partners for FREE on our LinkedIn company page.

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