【バンク・オブ・アメリカ】Vice President, Insider Trading Surveillance Specialist
仕事内容
The Japan Surveillance specialist will work with APAC partners to execute the APAC surveillance program for Japan, which consists of insider trading and control room test(s) for Enterprise Independent Testing (“EIT”). This role is accountable for accurate and timely surveillance and/or supports operational and administrative initiative activities. This role interacts extensively with internal or external contacts to identify, research, analyze and resolve complex problems.
EIT is a centralized group within Global Risk Management responsible for independent testing of operational processes within the eight lines of business and enterprise control functions at Bank of America to ensure the company is in compliance with domestic and international laws, rules and regulations, and that risk and controls procedures are operating effectively.
The APAC EIT Enterprise Areas of Coverage (“EAC”) team is part of the Global surveillance team within EIT, based in a number of locations in Japan, Hong Kong ,India, US and Dublin focusing on insider trading and control room restricted and watchlist surveillance in Equities and Fixed Income. The Global Surveillance Testing team consists of approx. 180 surveillance associates dispersed over a number of countries.
Daily responsibilities of the Surveillance Specialist include execution of surveillance procedures, identifying and documenting defects and providing daily updates to surveillance leads and managers as needed. This role works closely with Risk, Compliance, and Subject Matter Experts across the globe.
What you will do
The Surveillance Specialists accountable for surveillance execution for the Independent Testing Function.
The Surveillance Specialist is a highly tenured subject matter expert with strong subject matter expertise of surveillance and system(s) of record required and is able to translate business strategy into work programs and processes.
The Surveillance specialist is accountable for quality surveillance, reporting and analysis of results. This role may lead, contribute and participate in multiple special projects as an experienced subject matter expert of a processes and/or projects.
Assist in planning and preparation for exams and audits, prepare and gather documents to respond to regulatory inquiries.
Apply critical thinking skills to make independent assessments, articulate recommendations and defend conclusions.
Build strong relationships and collaborate with the business and other risk partners including Front Line Unit, Local Compliance partners, Operational Risk and Legal.
応募資格(必須経験など)
Your background
5 + years work experience in related area
Bachelor’s Degree or equivalent experience
Excellent knowledge of trading business, markets and products, such as Equities, Futures and Options, Fixed Income and Commodities
Ability to handle multiple projects in a dynamic environment
Comprehension of Japan insider dealing trade surveillance related laws, rules and regulations
Experience utilizing surveillance tools, such as SMARTS and Actimize
Intellectual curiosity, anticipate risk and forward thinking
Excellent interpersonal, written and verbal communication skill with the ability to communicate at all levels
Ability to work in a team-oriented environment