Tokyo
Macquarie is a pre-eminent provider of financial services. In Australasia, Macquarie provides a full range of investment, financial market and advisory products and services. Internationally we focus on select markets where we are able to provide special value.
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across the Group. Its functions are Compliance, Credit, Prudential, Capital Markets, Operational Risk, Market Risk, Internal Audit and Data Policy.
The Compliance Division is responsible for ensuring that all compliance risks are properly assessed and managed across Macquarie.
Primary Objectives:
- Responsible for producing Daily Compliance Report
- Responsible for JSDA SR registration and deletion, arranging test schedule and renewal seminars
- Responsible for Regulators' inquiry for trade surveillance
- Assist compliance officers
Major Accountabilities/Principal Responsibilities
- Responsible for Daily Compliance Report
- Perform daily trade surveillance duties in accordance with required items on daily compliance report
- Review of account activities for proprietary trades, short selling and other trades on/before valuation date
- Close liaison with front office personnel
- Close liaison with other departments/businesses within Macquarie Tokyo
- Responsible for JSDA SR registrations etc.
- Pre-inquiry for new joiner
- License registration and deletion
- Training examination arrangements
- Ad hoc translations (legal and regulatory related documentation)
- Preparation various reports to regulators
- Any administration related work requested by supervisors
- Responsible for trade surveillance inquiry from regulators
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