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Location
Tokyo
Salary
Competitive Salary
Job Type
Permanent
Ref
BH-18489
Contact
Khai Anwar
Contact email
Email Khai
Contact phone
6692 9359
Posted
  • Exciting new Trade Surveillance opportunity
  • Experience in a retail prime brokerage advantageous
  • English and Japanese proficiency desired for internal & external communications and engagement
 

Our Client is a global Securities brokerage, seeking an experienced Trade Surveillance professional based in Japan. You will ensure surveillance reviews are completed accurately and timely, and manage regulatory reporting as required. You will also assist with EDD, Transaction Monitoring and filing of STRs when needed.
 

You will:

  • Possess a Bachelor’s degree with at least 3-5 years of working experience, preferably from a trade surveillance function in a retail brokerage firm.
  • Able to operate NASDAQ SMARTS Trade surveillance system, including calibration
  • Must have an understanding of various financial products like equities, equity derivatives
  • Knowledge of trade surveillance rules and regulations relating to retail brokerage including associations and exchange rules.
  • Ability to speak, read and write in English is a plus.
  • Proficient in MS Office applications.
 


Take charge of this opportunity to welcome a new career challenge.



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