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Graphs and Data

AAA Rated Industrials (5 year) - 5.22
AAA Rated Industrials (10 year) - 5.36
AAA Rated Industrials (15 year) - 5.46
AAA Rated Industrials (20 year) - 5.54
AAA Rated Industrials (25 year) - 5.60

BBB Rated Industrials (5 year) - 5.82
BBB Rated Industrials (10 year) - 6.24
BBB Rated Industrials (15 year) - 6.50
BBB Rated Industrials (20 year) - 6.69

Source - BondsOnlineQuotes.com

Income Security Dividends

Security	Amount	Ex-Div Date
AMY	$0.04	Oct 17
BXT	$0.62	Nov 19
CYCCP	$0.15	Oct 16
DBY	$0.07	Nov 21
EBB	$0.70	Nov 26
EPK	$0.62	Nov 26
JVI PR	$0.08	Nov 26

From PreferredsOnline
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Compliance Advisory Vice President / Director, Global Markets Compliance, Japan-Tokyo

Compliance Advisory Vice President / Director, Global Markets Compliance

Company:		Robert Walters Japan KK
Location:		Japan-Tokyo
Compensation:		Negotiable, based on experience
Years Experience:		10-15 yrs
Position Type:		Employee
Employment type:		Full time
Work permit req:		JAPAN
Updated:		09 Oct 2008
eFC Ref no:		417076

This is the opportunity to utillize your skills in a multi-national firm.

This company is global leader in Corporate Banking and Securities, Transaction Banking, Asset Management and Private Wealth Management.

Job description:
-To provide advice and assistance in resolving compliance and regulatory issues arising from sales and trading activities
-Ensuring that given advice is in accordance with regulatory issues
-Effective communication of key regulatory changes to the business
-Development and maintenance of compliance policies and procedures
-Dissemination of policies and procedures following the Compliance Communication protocol by using Compliance Alerts
-Assist the business in establishing policies and procedures and Key Operating Procedures (KOPs)
-Assist in resolving issues arising from the adoption of clients, and if applicable, ensuring that escalation policy and procedures are followed
-Dealing with referrals passed on by the Monitoring, Investigation and Surveillance Unit (MSI)
-Review and participating in the New Product Approval process
-Represent and participate in global practice groups and initiatives
-Provide formal and ad-hoc training on key regulatory issues to all front office staff
-Assist in desk reviews undertaken by MSI
-Participate in ad hoc desk reviews as required

Requirements:(must have)
-5-10 years of Financial Services industry experience
-Strong communication skills
-Fluent English ability
-Fluent Japanese ability
-Similar Working experience in Japan.

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Company:

Robert Walters Japan KK

Email:

financialservices@robertwalters.co.jp

Website:

www.robertwalters.co.jp

Address:

Shibuya Minami Tokyu Building 14F
3-12-18 Shibuya, Shibuya-ku
Tokyo
Japan
150-0002

Recruiter Ref:

LC-248050-BEF

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