Assistant Vice President, Compliance and Operational Risk Specialist

掲載中・1日前に確認

給与: 記載なし
勤務地: 東京都
休日: 記載なし
雇用形態: 正社員

どんな仕事かAIによる生成

The Testing Specialist conducts independent transactional and process testing in support of needs identified by Compliance and Operational Risk Officers. The role is responsible for testing execution, reporting and analysis of results, and contributes to identifying themes and trends.

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この求人に応募

給与記載なし

募集元で応募するBofA証券株式会社の採用ページへ

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応募資格

必須

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.
Age requirement: Must at least be 18 years of age.

歓迎

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

求める人物像

Intellectual curiosity, anticipate risk and forward thinking with a mindset to continuously drive to become better

募集要項最終確認 10/15

職種: コンプライアンス
雇用形態: Full time
役職: Assistant Vice President
給与: 記載なし
勤務地: 1-4-1 Nihonbashi, Chuo-ku, Tokyo, 103-0027
働き方: 記載なし
経験年数: 5年以上
学歴: 大学卒業以上
掲載日: 2026/10/07 00:07（9日前）
最終確認: 2026/10/15 20:49（1日前）

仕事内容

Job Description

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.

Responsibilities

Conducts independent transactional and process testing on a team in support of identified needs. A test is defined in the Independent Testing Enterprise Policy as “an independent point-in-time examination of one or more processes, controls, policies and procedures or data sources utilized for managing risk to assess the effectiveness of the control environment. A test is focused on answering a specific objective and has a pre-defined pass/fail criteria.” Testing may include activities such as automated surveillance and transaction level testing and may be performed onsite.
Quality testing execution, reporting and analysis of results.
Participate in test script development and test design.
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.

この求人は、BofA証券株式会社の採用ページの内容をAIが読み取って整理したものです。応募の前に採用ページの原文を確かめてください。データの集め方企業サイト