【ドイツ証券】Compliance - Control Room Officer - Associate
仕事内容
https://careers.db.com/professionals/search-roles/#/professional/job/67693
You are the member of Compliance Japan.
Compliance Department Japan performs a wide-ranging activity such as
a) 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,
b) trade surveillance of listed derivative trading including response to inquiries from supervisory authorities / Self Regulatory Organizations,
c) testing undertaken to confirm whether Business is following the rules and regulations applicable to an activity or practice and
d) holding discussion and negotiations with, and respond to inspections from supervisory authorities such Financial Services Agency and Securities and Exchange Surveillance Commission etc.
Compliance Department currently comprises Head of Compliance Japan and 18 other staffs, working in five core teams: Business Line Compliance Team (Research, Fixed Income, Origination & Advisory), Control Room, Central Compliance, Compliance Testing and Compliance Regulatory Team.
応募資格(必須経験など)
Your skills and experience:
• A willingness and the ability to develop expertise in understanding of financial regulation such as Financial Instruments and Exchange Law, Rules from Japan Securities Dealers Association and other Control Room/Research Business Line Compliance and Corporate Finance Business Line Compliance related internal Global Policy and Procedures, and to do so quickly, seamlessly, and to a consistently high standard;
• The ability to be flexible and move quickly developing one’s capability towards different subject areas as opposed to limiting one’s interest and actions to only one or two areas;
• Strong analytical skills for delivering good and clear analysis of issues;
• The ability to make efforts to create solutions and deliver, both verbal and written, a pragmatic outcome-focused judgments that take account of the business environment.
• Committed to pursue responsibilities from the perspective of “fire prevention” as opposed to “fire fighting”;
• Be aggressive to confirm Business Staffs what is the purpose, why this product to this client;
• Do not hesitate to ask questions to Business;
• A mature character with team spirit without obsession of becoming a “fast tracker”; No worries, there are always considerate people with discerning eyes who appreciates and speaks for staffs who works without expecting credits;
• Fluent in English and Japanese.