The Compliance Department Japan performs a wide-ranging activity including providing advice on compliance policies and local regulations, trade surveillance, testing, and liaising with supervisory authorities
Job Summary
The Compliance Department Japan performs a wide-ranging activity including providing advice on compliance policies and local regulations, trade surveillance, testing, and liaising with supervisory authorities.
Key responsibilities include enforcing controls to prevent misuse of Price Sensitive Information, managing Restricted and Watch Lists, analyzing deal pipelines, and defining trading/research restrictions.
Deutsche Bank is committed to providing an environment with employee development and wellbeing at its center, offering corporate group insurance, annual health checkups, flexible work arrangements, and childcare/elderly care benefits.
Matching Summary
The Compliance Department Japan performs a wide-ranging activity including providing advice on compliance policies and local regulations, trade surveillance, testing, and liaising with supervisory authorities.
Skills & Requirements
Must-have
Chinese Wall and Fire Wall compliance
trade surveillance
Price Sensitive Information (PSI) control
Watch List / Restricted List Management
Conflicts of Interest Control Advisory
Fluent in English and Japanese
Nice-to-have
proactive "fire prevention" approach
team spirit
outcome-focused judgments
flexible and adaptable
willingness to develop expertise quickly
Key Requirements
Understanding of financial regulation
Experience in Control Room/Research Business Line Compliance