Officer, Business Support Associate

  • Competitive
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Bank Of America / Merrill Lynch
  • 21 Feb 18 2018-02-21

Officer, Business Support Associate


Position will be engaged in the supervision of regulated broker/dealer activities. Position is delegated certain responsibilities for reviewing, approving and maintaining aspects of Global Banking and Markets supervisory surveillance to detect and address a violation of applicable law, regulation or internal policy. Positions will perform varying levels of supervisory activities, depending on degree of business, supervisory, regulatory, compliance, and investment banking knowledge, in support of LOB Series 24 Supervisors overall supervision responsibilities. The GBAM E-Communications team is responsible for insuring Bank of America Merrill Lynch's compliance with applicable regulatory and statutory rules and regulations within the electronic communications space.

Required Skills:
• Bachelor's degree in Business, Behavioral Science, or related field OR Associate's degree in Business or related field and 2 years experience in the securities industry or related field OR 4 years experience in the securities industry.
• E-Communications Review - Uses e-communication surveillance tools and processes to prioritize, review, and evaluate the regulatory compliance of e-communications (e.g. e-mail, social media communications) for regulated employees designated by GBAM Compliance
• Escalation Process & Reporting - Identifies, resolves, and escalates problematic e-communication trends, preparing reports and communicating compliance trends and violations to stakeholders (e.g., LOB leadership, GBAM Compliance, Legal) as appropriate
Mandarin and English or Korean and English

Desired Skills:
• 2 year or more experience in eCommunications review and analysis
• 2 year or more experience working at Compliance, Operational Risk Management, or GBAM with a financial institution
• Series 7 or corresponded local qualification holder
• Prioritizes flagged communications for review based on the preliminary assessment of key indicators (e.g., subject headings, sender/receiver addresses)
• Works with cross-functional stakeholders (e.g., Human Resources, Legal & Compliance Support Partners) to follow-up on and resolve issues identified during review process
• Reviews and communicates compliance trends and violations to appropriate stakeholders (e.g., LOB leadership, GBAM Compliance, Legal) both verbally and in writing
• Prioritizes flagged communications for review based on the preliminary assessment of key indicators (e.g., subject headings, sender/receiver addresses)

Posting Date: 30/01/2018
Location:
Tokyo, , 4, 1,
- Japan

Full / Part-time: Full time
Hours Per Week: 36.25