Citi JPN - Compliance Officer - Surveillance, Compliance in Tokyo, Japan

  • Primary Location: Japan,Tokyo-To,Tokyo

  • Education: Bachelor's Degree

  • Job Function: Compliance and Control

  • Schedule: Full-time

  • Shift: Day Job

  • Employee Status: Regular

  • Travel Time: No

  • Job ID: 16078218


This position reports to the Head of the Surveillance Department and is mainly responsible for items 1) and 2) defined below, covering both CGMJ/ CJL surveillance tasks, however items 3), 4) and 5) could also be included as part of the position.

1) Trade Surveillance

Cash Equities, Listed Derivatives, Fixed Income ( incl. FX, Credit) Surveillance

・Alert handling on SmartsBroker system for market manipulation monitoring

・Implement vender solution for Insider Trade monitoring

・Work to maintain and strengthen internal control framework

・Surveillance using newly implemented FX trade surveillance platform as a part of global initiative.

・Quality assurance of transaction monitoring alerts which are closed by business for each asset class.

2) Information Barrier Surveillance

Day to day alert handling for;

・Restricted Trading surveillance

・Research Front running surveillance

・Watch list trade surveillance

・Insider trade monitoring

Engage in global projects for enhancement of existing platform.

3) eCommunication Surveillance

・Email monitoring using Ochestria, which includes Bloomberg chats and mails, Outlook mails and internal chat). Main focus is Market manipulation, MNPI leakage and Insider trading detection

・Voice monitoring focusing on Manipulation, Collusion, secrecy for sales and trading business areas.

4) Regulatory Inquiry Handling

Handling regular inquiries from SESC, TSE, KFB and other regulators in relation to equity transactions

・Conduct data extraction and submission

・Respond to complex inquiries in a timely manner

5) Employee Trading Controls

・Pre-clearance of Employee Trading

・Post-monitoring for Employee Trading activities

・Participate in project for employee trading platform migration to Global strategic solution

Up to VP (V1234)


< Required Skills and Abilities>

・Experience of Fixed Income business

・English: Fluent (reading & writing) Japanese: Native

・Strong data analytic skill

・Good Communication skill and interpersonal skill

・Personal integrity, accountability and detail oriented;

・Thrives in a team environment and can easily communicate with colleagues and senior management;

・Ability to liaise across departments and adapt to different perspectives;

・Strong writing skills and ability to express ideas logically, accurately and clearly in English and Japanese;

・PC Skills (Required - Word, Excel, and Power Point; Preferable - Access)

< Required Licenses>

・JSDA Sales Representative Level 1 and 2

・JSDA Internal Control Officer

< Desired Level of Qualification>

・Work Experience: At least 3 years at Securities Broker.

・Preferable – wider knowledge around securities broker’s business.

Japanese - Advanced Level

(Can communicate like a native speaker and perform complex tasks)

English – Advanced Level

(Can communicate like a native speaker and perform complex tasks)