コントロールルームコンプライアンスオフィサー/ Control Room Compliance Officer
給与 ¥10,000,000 - ¥20,000,000 per annum
担当コンサルタント Tatsuro Sano
掲載日 2018/09/05 2018-09-052018-11-02 financial-services 3-12-18 Shibuya, Shibuya-ku Tokyo, 150-0002 Robert Walters
A multinational financial holding company is now hiring for a Control Room Compliance Officer with project management experience. In this position, you will work in shifts to support reviews on compliance matters and support other teams in enforcing compliance all across the board.
- Review equity and fixed income research reports for potential conflicts with the watch and restricted list
- Perform transaction reviews and maintenance in deal management system
- Review and approve wall-crossing requests from banking business, trade requests on the restricted list
- Maintain the watch and restricted lists
- Review equity research for compliance with quiet periods
- Experience in control room and/or banking compliance preferred
- Skills and experience in project management
- Flexibility to work in shifts between 6:00-20:00
About the Company:
A multinational financial holding company, this company has a long history in financial services spanning over 150 years. Since its inception, this company has seen strong growth and now commands a vast international network, employing over forty thousand individuals in a diverse workforce.
法務, 法律, コンプライアンス, 金融, 金融業, 銀行, 投資銀行, 信託, 証券, ファイナンス