【ドイツ銀行】Compliance - Head of Surveillance Japan - VP
仕事内容
https://careers.db.com/professionals/search-roles/#/professional/job/65830
Communication and Trade Surveillance (CTS) is responsible for identifying potentially unusual transactions and inappropriate business activities by employees. CTS therefore monitor trade data and electronic communication and handle enquiries from regulators.
In response to regulator’s greater expectation to Compliance, CTS is one of the focused areas within Compliance and regarded as the key function to prevent and mitigate conduct risks through monitoring activities.
It is also expected for the position to proactively communicate with various counterpart inside and outside of Compliance. There are a lot of opportunities to co-work with regional colleagues and supervisors.
応募資格(必須経験など)
Your skills and experience:
• Must have tenured experience as a manager of a compliance surveillance team.
• Must have good knowledge of local Japan Trade Surveillance requirements and be able to apply them to Surveillance routines.
• Must have business Japanese language level to face local regulators for surveillance queries and during regulatory inspections
• Evidenced ability of training and building a surveillance team from an inexperienced team to a global standard.
• Degree qualified in Finance or Economics would be beneficial.
• An ability to work calmly under the pressure of deadlines and resources constraints.
• An advanced understanding of risks associated to Market Abuse, Market Manipulation, and Insider trading.
• Knowledge and experience in wholesale financial business
• Ability to work as a team player (for example, willingly share knowledge and experience with colleagues)
• Willingness to be a team leader with broad experience and knowledge in future.
• Ability to work independently and proactively based on proper prioritization.
• Ability to tackle unforeseen and hard tasks calmly with resilience.
• When available and appropriate be willing to be involved in team as well as departmental projects within and outside of Surveillance space