Trading Risk Management/Compliance Officer - Bilingual Japanese APA International Placement Consultants -
New York, NY
Trading Risk Management/Compliance Officer $50K -$60K – Bilingual JapanesePrestigious International Financial Firm seeks a Trading Risk Management & Compliance Officer to perform the following duties: Front Office Risk Management / Others1. Performs transactions / counterparties review and prepares monthly reports2. Updates procedures and policies, Front Office manual, and tracks revisions3. Assists with internal/external audits and prepares memos/reports as needed4. Generates front office reports using Devon and Atlas systems as needed5. Reviews Treasury Department related invoices / subscriptions, pays bills and prepares budget6. Attends weekly meeting and takes minutes7. Updates files and maintains filing8. Performs all other duties as assigned by the Front Office ManagerCompliance Risk related1. Creates and updates Customer/Account Profile for all Treasury Department customers2. Performs OFAC check for new leave order customers and adds them in Leave Order Customer Master list3. Obtains updated USA Patriot Act Certification for correspondent accounts4. Obtains updated Anti Money Laundering questionnaire for correspondent accounts and deposit brokers5. Acquires CIP letters from our Head Office & other branches6. Ensures IBF compliance7. Abides by all compliance related proceduresOperational Risk relatedAssists in monitoring and managing operational risk:1. Reviews trading activities and tracks operational errors on a daily and monthly basis.2. Maintains operational errors statistics and prepares reports for Treasury Department, Global Markets management.Credit line management relatedAssists in monitoring and managing credit line management:1. Reviews changes in credit lines and tenor, internal ratings, name changes / merger and updates files2. Performs semi-annual checking on all credit lines against systems set up3. Administers set up in EBS and Reuters by adding / removing FX counterparty and its credit limitExamination/Audit relatedProvides assistance for the following:1. FRBNY and NYSDFS Examination: assists with collecting Treasury Department, Global Markets business related materials for pre-planning session (Introductory Letter), and on-site examinations (Entry Letter).2. Japanese FSA and Bank of Japan examination: assists with collecting and preparing Treasury Department, Global Markets related material to facilitate the examination process. (Note: It may berequired to prepare related material in both Japanese and English language.)3. Assists Treasury Department, Global Markets related internal audits, attends meetings with internal auditors and prepares memo/reports as needed. Assists in arranging and documents any walk-through of Treasury Department, Global Markets procedures flows.
1. Bachelor's degree or equivalent in business, finance or economics.2. Good knowledge of Excel, Word, Power Point, Outlook, Access and Bloomberg workstation.3. Excellent oral and written communication skills required in both Japanese and English.4. Good business math, analytical and interpersonal skills.5. Excellent organizational ability.6. Leadership in assigned area.7. Familiar with Treasury Department's Procedures Manual and Code of Conduct.
CareerBuilder - 9 months ago
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