Compliance Specialist
2 days ago
About Us:
Our organization operates in over 40 markets globally, offering a comprehensive range of commercial and investment banking services to businesses, governments, and individuals worldwide.
Headquartered in Tokyo and with a history spanning over 360 years, we have approximately 120,000 employees and offer services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.
Our mission is to become the world's most trusted financial group by fostering close collaboration among our operating companies and responding flexibly to all the financial needs of our customers, serving society, and promoting shared and sustainable growth for a better world.
Our shares are listed on the Tokyo, Nagoya, and New York stock exchanges.
Job Overview:
This role will be responsible for reviewing and closing electronic communication alerts for the EMEA region.
The ideal candidate will have a strong understanding of market abuse and conduct topics and expertise in Microsoft Office Suite.
Required Skills and Qualifications:
- Bachelor's degree with 8-10 years' experience in Financial Services or Banking Compliance
- Good understanding of market abuse / conduct / compliance topics
- Expertise in Microsoft Office Suite (i.e. Excel, Access, PowerPoint and Word)
Key Responsibilities:
- Reviewing and analyzing alerts generated from automated electronic communication surveillance systems to detect potential violations of our policies, escalating to the appropriate department when necessary.
- Performing audio surveillance by listening to voice communications of recorded employees to detect potential violations of our policies, escalating to the appropriate department when necessary.
- Properly documenting rationales with accurate, complete, and organized written commentary for audit trail.
- Adhering to written operating procedures for each review they're responsible for, modifying procedures and submitting them for approval when needed.
- Driving the enhancement and improvement of the communication surveillance program from both an effectiveness and efficiency perspective, clearly communicating findings and recommendations to onshore Surveillance teams and the EMEA Head of Surveillance.
- Supporting compliance investigations, gathering and analyzing communication logs, trade data, and other relevant information to identify trends, patterns, and anomalies.
- Preparing quantitative and qualitative metrics to report surveillance results to Senior Management, identifying potential trends or themes that may warrant further consideration or action.
- Keeping up-to-date with regulatory changes, internal policy updates, and regulators' actions to ensure the surveillance systems incorporate up-to-date techniques and address advanced market abuses and misconduct matters.
Equal Opportunity Employer:
We are committed to providing equal employment opportunities to all applicants and employees and do not discriminate on the basis of any protected status of an individual or their associates or relatives.
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