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

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.