The Compliance team is responsible for proactively engaging with the business to provide clear advice and support to ensure the group continues to meet all applicable regulatory requirements
Job Summary
The Compliance team is responsible for proactively engaging with the business to provide clear advice and support to ensure the group continues to meet all applicable regulatory requirements.
This role will work as a member of the Compliance team to foster a compliance culture within TP ICAP Group’s companies, with particular responsibility for the compliance activities of Liquidnet Japan.
TP ICAP wholeheartedly believes in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background.
Matching Summary
The Compliance team is responsible for proactively engaging with the business to provide clear advice and support to ensure the group continues to meet all applicable regulatory requirements.
Skills & Requirements
Must-have
Financial institution equity compliance
JSDA and FSA FIBO guidelines
Regulatory framework governing IT systems
Interacting with FSA and JSDA
Corporate secretarial duties
Nice-to-have
Strong interpersonal and communication skills
Resilient personality with high integrity
Organisational skills and ability to prioritise
Motivated self-starter and proactive
Willing to accept responsibility
Key Requirements
Internal Control Manager exam at JSDA holder
Minimum of 5 years’ experience in financial institution equity compliance