【バークレイズ証券】Japan Markets Surveillance VP
仕事内容
https://search.jobs.barclays/job/tokyo/japan-markets-surveillance-vp/13015/87208625232
Oversee and lead the Japan market surveillance team responsible for monitoring and analyzing market activity to detect potential signs of abuse or manipulation. Ensure strict adherence to regulatory requirements and internal policies, and take proactive measures to address and mitigate market misconduct for the Japan Markets.
• Supervise the team’s continuous monitoring market activities, including order flows, pricing, trading volumes, and communications, to identify potential irregularities or market misconduct.
• Direct and conduct thorough investigations to collect evidence and assess risks related to market manipulation, insider trading, or other forms of misconduct.
• Provide business support for projects aimed at enhancing the firm’s market surveillance framework.
• Serve as the primary contact for regulatory inquiries and internal or external audits.
• Act as the liaison with regional and global market surveillance teams to ensure alignment with the global framework and escalate identified issues as needed.
• Deliver accurate and timely reports on market surveillance activities, incidents, and trends to regulatory authorities, internal stakeholders, and management.
• Implement and maintain controls in accordance with the Barclays control framework and firm-wide standards.
• Draft and oversee the drafting of relevant policies and procedures in both Japanese and English.
• Support the control environment, focusing on data quality, model effectiveness, and operational efficiency.
応募資格(必須経験など)
Essential Skills/Basic Qualifications:
• At least 5 years’ experience in trade surveillance and/or markets Compliance.
• Native level Japanese speaking/writing capabilities.
• Business level English speaking/writing capabilities.