Credit Suisse Japan Compliance and Regulatory Affairs Division Central Surveillance Compliance Officer #101893 in Tokyo, Japan

This is a role within Japan Compliance and Regulatory Affairs Division, Central Surveillance with responsibility to manage the Japan surveillance program in line with global objectives and conduct day-to-day surveillance over defined business areas.

Responsibilities and functional duties:

  • You will handle the Japan trade and electronic/voice surveillance programs in line with global objectives ensuring that global minimum standards as well as Japan regulatory requirements are met on an ongoing basis.

  • Conduct trade surveillance over the activities of defined business areas

  • You will raise, review and ensure appropriate follow up and documentation of potential red flags/irregular findings.

  • You will maintain Japan manuals and procedures in line with global and local requirements

  • You will look to continuously improve the surveillance program, identify risks and contribute to the efficiency and effectiveness of the surveillance function.


  • You should have at least 5-8 years’ experience in trade surveillance.

  • You have a good knowledge of the relevant legal and regulatory framework and the equities business.

  • You are analytical with good attention to detail to be able to spot and follow up on irregular findings. You are methodical in documentation.

  • You are fluent in Japanese language, and have business level English language ability, which is necessary because this role will need to communicate effectively with business partners and counterparts in Japan and regionally.

  • You have excellent EXCEL, Word and PowerPoint skills.

  • A strong dedication to carry matters through to a successful completion with internal clients and business partners and who is a true team-player who loves to share knowledge and has a willingness to learn.

Title: Japan Compliance and Regulatory Affairs Division Central Surveillance Compliance Officer #101893

Location: Japan-Tokyo-Tokyo

Requisition ID: 101893