COMPLIANCE OFFICER M/F - VIE TOKYO

Job description

Environment
You will work as a member of Capital Markets Surveillance (CMS) team in SG Japan Compliance Department.
CMS team is in charge of two major duties, Trade Surveillance and Communication Monitoring.
Trade Surveillance
In accordance with regulatory requirements as well as SG’s Global Policy, SG Japan Compliance Department is responsible to act a gate keeper towards exchanges. To fulfill such requirement, CMS team in Japan Compliance Department conducts trade surveillance to detect manipulative and/or problematic transactions by using dedicated surveillance tools.
Japan CMS team covers Tokyo Stock Exchange (case equity, ETF), Osaka Exchange (Derivatives) and other exchanges in Japan.
Communication Monitoring
To secure the transparency of the market and integrity of SG employee’s activities, Japan CMS team runs several communication monitoring to detect inappropriate communication (e-mails, chat, phone etc.).
The communication monitoring is one of the key control at the moment, especially after IBOR, WM Reuters and other benchmark related misconduct within Financial Sector.
This position will report to Head of CMS Japan who reports to Head of Compliance Japan.
Head of Compliance Japan reports to Head of Compliance APAC who is the member of Global Compliance EXCO.
Mission
During your VIE mission you will be in charge of these responsibilities :
- Help investigations for the Trade Surveillance and Communication Monitoring under supervision of other staffs.
- Consult the team members as necessary to perform daily reporting and filing.
- Escalate and report issues or doubtful transactions in a timely manner.
- Liaise with other compliance officers and stakeholders to cope with the regulatory inquiries or matters requiring various investigations.
- Acquire the understanding of onshore law and regulations, e.g. Japan FIEA (Financial Instruments and Exchange Act) and key offshore regulations, exchange rules, SG firm policies etc. which shall be applied to both Trade Surveillance and Communication Monitoring.
- Liaise with other team members in regional compliance or other departments as necessary
The VIE assignment in a nutshell
This VIE in Tokyo is to begin as soon as possible but you need to plan 3 months between your application date and the beginning of your VIE assignment. It will last 12 months.
The VIE is a specific contract, under Business France’s eligibility criteria, opened to candidates under 28 and from the member states of the European Economic Space. For further information, please see www.civiweb.com.
Profile
You are graduated with a Master degree from Engineering or Business School or University
Ideally you have past experience in Financial Sector
You are fluent in English
Japanese is not mandatory but highly regarded
You are proficient in Microsoft Office application (Excel, powerpoint)
Evolution
Your career path
To facilitate the examination of your application by our English-speaking managers, we thank you for applying in English.
All our positions are open to people with disabilities.