Compliance Director - Equities / FICC

Key Responsibilities

• Provide compliance advisory and guidance to support business operations.
• Deliver real-time regulatory compliance guidance to the trading floor at both local and regional levels.
• Act as the primary contact for business units on product compliance issues, providing advisory support.
• Monitor regulatory developments and trends to ensure compliance with new or amended regulations.
• Develop and oversee compliance monitoring programs, conducting periodic desk reviews.
• Offer regulatory compliance advice and approval for cross-border activities.
• Analyze regulatory changes, assess their impact on business processes, and update compliance policies and procedures accordingly.
• Train front office staff on new policies and procedures and assist in developing implementation strategies.
• Maintain cooperative relationships with government policymakers, regulatory agencies, and self-regulatory bodies.
• Assist in ad-hoc investigations, including data gathering, analysis, and documentation.
• Collaborate with Legal, New Products, Controllers, Operations, Risk, IT, and other departments to establish controls and policies for new businesses.
• Knowledge of Japanese regulatory regimes (MNPI, FW, COI, Mass holding) is a plus.
• Complete all compliance and risk awareness training and fulfill compliance responsibilities.
• Adhere to company policies, procedures, and regulations (e.g., avoid unauthorized use of confidential information, comply with dress code, refrain from accepting personal benefits / gifts / entertainment from clients without permission, and avoid unauthorized securities dealings).
• Promptly report all incidents.

Requirements