Credit Suisse Japan Control Room Compliance Officer #108219 in Tokyo, Japan
Career opportunity in Control Room function for development into Subject Matters Expert (SME) in Control Room area. Control Room function involves advisory and maintenance over Information Barrier (or Chinese Wall) of the Bank. Monitor and review public side activities e.g. research publications to avoid or mitigate conflict of interest in compliance of local laws and regulations. Key tasks in Control Room function includes:
Transaction review and maintenance in Deal Management System.
Review and approve wall-crossing requests from banking business.
Maintain Watchlist and Restricted List.
Review and approve trade requests on Restricted List.
Review Equity and Fixed Income Research reports for potential conflicts against the Watch and Restricted Lists.
Review Equity Research for compliance with quiet periods (e.g., IPO, Secondary, and Lock-Up expirations).
Providing daily support to the Core Control Room.
Facilitate approval for Japan employee personal account trading.
Review regulatory filing prepared by Position Limit Monitoring (PLM) team to ensure that required filings are made accurately and on time for Japan positions.
Your control room and/or research legal and compliance experience is preferred.
You have the ability to handle confidential information and matters with discretion.
You possess flexibility and experience to handle multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines.
You are extremely detailed oriented, with excellent follow-up.
You should have the ability to work independently and get along with all levels of management in a professional and positive manner.
You have strong communication, interpersonal, and presentation skills.
You also have accomplished analytical skills and project management skills.
Title: Japan Control Room Compliance Officer #108219
Requisition ID: 108219