【ドイツ証券株式会社】Compliance - Surveillance Analyst - up to Associate
仕事内容
Communication and Trade Surveillance (CTS) is responsible for identifying potentially unusual transactions and inappropriate business activities. CTS therefore monitors trade data and electronic communication and also handles enquiries from regulators. Surveillance is a key function to monitor and correct employee’s conduct.
The surveillance analyst role will be responsible for conducting day-to-day surveillance activities with primary focus on OTC business and communications and work closely with other team members to help them with their data analysis requirements.
We are looking for high calibre candidate with strong analytical and communications skills to help to make our surveillance platform strong and gain confidence/reputation from our internal stakeholders as well as regulators
Key Responsibilities:
• Focus on Trade and Communications Surveillance for Japan, ensuring that day-to-day surveillance performed while maintaining proper records
• Escalate any suspicious transaction/communications to business/business line compliance and drive the matter to a reasonable conclusion
• Conduct data analysis required for reviewing any alert or conducting ad-hoc investigations
• Work closely with regional and global team to facilitate implementation of globally developed Surveillance models/tools to Japanese market
応募資格(必須経験など)
The candidate will have:
• Bachelor’s degree or higher
• At least 2 - 3 years working experience in Compliance/Surveillance or similar analytical role such as AML/KYC, other risk control functions
• Strong attention to detail, analytical skills and sound judgement
• Good communications skills in Japanese (Must have) and English, both Verbal and Writing
• Good understanding of local rules and regulations will be a plus
• Knowledge of business areas such as Fixed Income, FX, Listed derivatives will be a plus
• Having some technical knowledge such as ability to write macros, scripts (Python, R etc.) will be a plus
The candidate will be:
• Excellent team player
• Quick learner and have flexibility and willingness to learn new things
• Ability to take ownership of things, work independently and proactively based on proper prioritization
• Ability to tackle unforeseen and hard tasks calmly with resilience
• Good at speaking up and reporting/escalating things promptly