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Compliance Analyst – Japanese Speaking

Written by Anton Murray Consulting on .

Location: Sydney

  • $50-100k AUD Equivalent
  • Permanent
  • 1 to 3 years of experience

Fantastic opportunity for a Japanese speaking candidate to join a leading derivatives trading firm in Sydney supporting the head of compliance and working in a team of four.

Responsible for daily compliance tasks for the Asia Pac region with a focus on Japanese markets and regulations.

Responsibilities:

  • Provide training & guidance on financial markets & products, trading strategies (e.g. short selling).
  • Liaise with regulators & exchanges (primarily Australia & Hong Kong, Japan).
  • Ensure compliance with anti-money laundering (AML) procedures & provide AML training.
  • Ensure compliance with statutory reporting requirements (e.g. substantial shareholding reports, short position reports).
  • Review IT trading systems, development & testing of systems & controls.
  • Maintenance & review of proprietary trading systems controls, filters, parameters & reports.
  • Maintenance & development of regulatory licence programs, compliance manuals, policies/procedures.

Compliance Knowledge to be Accumulated

  • Knowledge of Asia Pac and Japanese market & exchange regulations.
  • Australian Corporation Law & Hong Kong Companies Code.
  • ASIC AFSL & Hong Kong SFC Licence regime.
  • ASIC Market Integrity Rules, HK SFC Regulations & Guidelines, MAS Regulations.
  • ASX & Chi-X Operating Rules & Procedures, HKEx Market Rules & Procedures, SGX-DT Rules.
  • AUSTRAC AML Legislation and Rules.
  • FCPA (Foreign Corrupt Practises Act).
  • Dodd Frank Swap Rules & EMIR.
  • FATCA (Foreign Account Tax Compliance Act).
  • OTC derivatives transaction reporting.

Applicant Requirements

  • ***Fluent Japanese is  required***
  • Professional or industry qualifications preferred.
  • Excellent writing & communication skills.
  • 1-2 years compliance experience.
  • Equity & derivative market experience/exposure preferred (but not essential)
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