Vice President, Compliance and Operational Risk Specialist, Japan

Job Description

This job is responsible for ensuring the identification, escalation, and timely mitigation of compliance and operational risks in the countries covered, in alignment with the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy, and the Compliance and Operational Risk Management Program and Standard Operating Procedures.

The role primarily supports the Global Corporate and Investment Banking (GCIB) businesses in Japan and requires a sound understanding of applicable Japanese laws and regulations, including the Financial Instruments and Exchange Act (FIEA) and other relevant regulatory requirements. The successful candidate will be expected to apply regulatory knowledge and risk‑based judgment when reviewing business activities, transactions, and potential compliance issues, while partnering with senior Compliance officers, business stakeholders, and control partners to support effective risk management and regulatory compliance. While the primary focus of the role is GCIB, the successful candidate may also be asked to provide compliance coverage for certain Research‑related activities as business needs require.

Key responsibilities include proactively engaging with other Compliance and Operational Risk (COR) officers, including Enterprise and Independent Areas of Coverage, to provide comprehensive oversight of Front Line Unit (FLU) and Control Function (CF) activities, supporting regulatory interactions, and preparing materials for COR regulatory examinations, audits, and inquiries.

The role also requires the ability to communicate professionally with both internal and external stakeholders, including regulators, auditors, and industry participants, under the guidance of senior Compliance management. The individual is expected to work collaboratively within the broader Compliance and Operational Risk organization and contribute to a team‑oriented environment.

Job expectations may include providing assistance to business leaders in preparation for FLU/CF regulatory examinations, audits, and inquiries, as well as Money Laundering Reporting Officer responsibilities.

Responsibilities

• Supports the execution of the Global Compliance and Operational Risk (GCOR) Program in Japan, including the effective review and challenge of Front Line Units (FLUs) and Control Functions (CFs)
• Supports Compliance and Operational Risk coverage for the Global Corporate and Investment Banking (GCIB) businesses in Japan
• Applies knowledge of Japanese laws and regulations, including the Financial Instruments and Exchange Act (FIEA), to review business activities, transactions, and potential compliance issues
• Assists in identifying, assessing, escalating, and mitigating compliance and operational risks arising from GCIB business activities
• Provide compliance coverage for certain Research‑related activities, partnering with Research stakeholders to ensure adherence to applicable regulatory requirements, internal policies, and control standards
• Provides day‑to‑day compliance guidance to business and control partners and supports the implementation of regulatory requirements and internal policies
• Supports the preparation of Compliance and Operational Risk reporting and management information for senior management, legal entities, and governance forums
• Supports regulatory examinations, audits, inquiries, and other interactions with regulatory authorities by preparing analyses, documentation, and responses as required
• Assists in maintaining a comprehensive regulatory inventory for Japan, including monitoring relevant regulatory developments and supporting implementation efforts arising from new or revised laws, rules, and regulations
• Supports the review and remediation of Compliance and Operational Risk issues, including Internal Audit findings, regulatory observations, and self‑identified issues
• Communicates effectively with internal stakeholders and external parties, including regulators and auditors, in a professional manner
• Partners with colleagues across Compliance, Legal, Risk, Audit, and business functions to support risk management initiatives and achieve common objectives
• Contributes to a collaborative and team‑oriented culture within the Compliance and Operational Risk organization

Skills

• Regulatory Compliance
• Risk Management, Risk Assessment
• Written Communications
• Active Listening
• Critical Thinking
• Issue Management
• Process Management
• Relationship Building
• Knowledge of Japanese Financial Instruments and Exchange Act (FIEA) and related regulations
• Regulatory Analysis and Interpretation
• Regulatory Examination Support
• Verbal Communication and Presentation Skills
• Collaboration and Teamwork
• Problem Solving