【バークレイズ証券】APAC Private Side & Research Compliance
仕事内容
As a Barclays APAC Private Side & Research Compliance, you will be Accountable for implementing a proper control and a conduct-focused culture in the coverage area. You will work closely with other private side compliance officers in APAC as well as with the rest of Japan Compliance team and to provide guidance in relation to technical areas of information barrier and conflicts management and other conduct and reputational risk management involving Banking, Corporate Banking and Research businesses.
Barclays is one of the world's largest and most respected financial institutions, with 329 years of success, quality and innovation behind us. We offer careers that provide endless opportunity – helping millions of individuals and businesses thrive, and creating financial and digital solutions that the world now takes for granted.
What will you be doing?
• Handling daily operation of the control room including review of insiders lists, wall crossings, monitoring and surveillance, disclosure reviews, media requests
• Reviewing research publications, active involvement in research clearance shifts to support Asia and other regions
• providing guidance and timely responses to ad hoc queries from the businesses including those related to trading and restricted list, Banking requests for chaperoning
• Supporting the build-out and maintenance of key systems and applications, including performance of UAT testing as required
• Preparing of and updating of desk procedures as they relate to Japan Control Room work
• Preparing training materials and conduct training both to Compliance and other businesses as required
• Reviewing requests and carry out data gathering as it relates to Regulatory Inspection, Compliance Monitoring and Testing, internal audit, and regional compliance queries
• Investigating and recording of breaches in Compliance systems
応募資格(必須経験など)
What we’re looking for:
• University degree or higher
• Solid Compliance experience in financial services, relevant Control Room and/or Business Compliance experience supporting Banking, Corporate Banking / Research businesses
• Good knowledge of information control and conflicts of interest issues long with current regulatory environment and financial markets and/or securities regulations
Skills that will help you in the role:
• Knowledge in Japanese regulation and general knowledge of current regulatory environment and financial markets and/or securities regulation and rules
• Pro-active and willing to take on issues/duties that require focus and determination
• Japanese language skills and English language skills
Where will you be working?
Our office is located in the Roppongi Hills building complex, one of the largest property developments in Japan, with modern and secure offices. The surroundings are known to be highly commercial, with restaurants, shops, gyms, and places to relax.