VP – Trade Surveillance - Controls and Desk Reviews Compliance Officer – Japan Coverage

Job description

Control Reviews / Desk Reviews Contribute to the delivery of the global RACR program through effective collaboration with Capital Markets Surveillance (CMS), Change Management & Transformation (CMT), Compliance (CPLE), Global Markets (MARK), and other relevant stakeholders. Liaise with Market Surveillance Officers and stakeholders globally, with a particular focus on supporting and coordinating activities relating to the Japan business.

Perform control reviews and desk reviews in accordance with established RACR methodologies, procedures, and governance standards. Execute the review roadmap for the Japan perimeter and monitor remediation activities where appropriate. Coordinate governance activities related to RACR reviews, including meeting organization, documentation, action tracking, and reporting. Ensure surveillance repositories, review documentation, and supporting records remain accurate and up to date.

Maintain comprehensive documentation of both existing and legacy trade surveillance controls. Maintain and periodically review the inventory of surveillance controls applicable to the Japan perimeter. Support ongoing engagement with Compliance Market Integrity teams, business stakeholders, internal audit, and other control functions as required. Act as the primary RACR representative for Japan and support management-driven projects and strategic initiatives.

Continuous Enhancement of the Trade Surveillance Framework Assess control effectiveness and identify potential weaknesses, gaps, or enhancement opportunities arising from reviews and assessments. Partners with surveillance specialists, business stakeholders, and project teams to enhance existing controls and strengthen surveillance coverage. Support calibration reviews and challenge the effectiveness of existing surveillance scenarios and thresholds.

Engage with surveillance vendors to evaluate and enhance the effectiveness of surveillance solutions. Assist in the design and implementation of solutions aimed at improving surveillance efficiency, effectiveness, and risk coverage. Identify and support the development of new surveillance controls to address emerging risks, new business activities, or evolving regulatory expectations. Regulatory Watch Monitor and assess Japanese and international regulatory developments relevant to trade surveillance and market conduct.

Proactively identify, analyse, and communicate the impact of regulatory changes on surveillance activities and control frameworks. Identify new surveillance capabilities and controls available from external vendors (e.g., Nasdaq SMARTS, TradingHub and other providers) that could enhance surveillance coverage and effectiveness. Management Information & Reporting Develop and produce meaningful management information, key metrics, and reporting relating to risks, control effectiveness, and RACR outcomes.

Support governance forums, senior management reporting, regulatory examinations, internal audit reviews, and other stakeholder requests as required.