Control Room Compliance #095615

Job description

· Core Control Room functions such as maintenance of Watch and Restricted Lists and conflicts clearance
· Research report reviews for potential conflicts and for compliance with quiet periods (e.g., IPO, Secondary, and Lock-Up expirations)
· Surveillance of the Firm's trading activities and investigate potential violations / abusive trading activities
· Conduct compliance training to relevant divisions
· Look to continuously improve the Control Room operations identify risks and contribute to the efficiency and effectiveness of the function

Desired profile

·  Ideally 3 years Control Room and/or research legal and compliance experience is preferred
·  Japanese native level Japanese language skills and business level English required in order to work with our Japanese business and communicate effectively with Japanese and regional stakeholders and counterparts
·  Ability to handle confidential information and matters with discretion
·  Flexibility, highly motivated and experience to handle multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines
·  Exceptionally detailed oriented with strong follow-up
·  Positive attitude with strong interpersonal, communication and presentation skills