【BofA証券】Assistant Vice President, Compliance and Operational Risk Specialist
仕事内容
This role is responsible for testing execution of tests and surveillances aligned to the Global Banking and Markets (GBAM) division. Daily interaction occurs with senior compliance and supervisory management. The Testing Specialist, under supervision, conducts independent transactional and process testing on a team in support of needs identified by Compliance and Operational Risk Officers. Compliance testing may include activities such as automated surveillance and transaction level testing. The Testing Specialist is accountable for quality testing execution, reporting and analysis of results. This role may participate in test script development and test design. The Testing Specialist contributes to the identification of themes and trends at the front line unit, control function and enterprise level. This role is an individual contributor in the Test Execution function.
応募資格(必須経験など)
Required Skills:
5 years Minimum Business & Functional Experience
Bachelor’s Degree or Equivalent
Excellent understanding of business, markets and products
Ability to handle multiple projects in a dynamic environment
Knowledge of specific regulatory environments and trading markets associated with APAC
Fluent in both verbal and written English and Japanese to be able to communicate with internal and external stakeholders
Ability to work independently while exercising sound judgment and appropriate escalation.
Desired Skills:
Familiar with trade surveillance related external laws, rules, regulation, internal policies, standards and procedures (such as Market Conduct Risk Framework [38]) and industry guidance (such as best practices from the FICC Markets Standards Board).
Experience using surveillance tools such as SMARTS and Actimize Surveillance
Excellent interpersonal, written and verbal communication skills
Intellectual curiosity, anticipate risk and forward thinking with a mindset to continuously drive to become better