Join a high-impact team that helps protect the integrity of the firm’s information barriers and supports responsible business activity. In this role, you will work closely with partners across regions and the front office to identify and manage risks early. You will apply sound judgement to real-world challenges and help strengthen a consistent global control framework.
As a Vice President, Control Room Compliance Officer in Compliance, Conduct and Operational Risk, you will support the Tokyo Control Room by reviewing investment banking transactions and research from a compliance and operational risk perspective. You will help maintain and enforce information barriers, support Watch and Restricted list processes, and advise stakeholders on permissible interactions with research analysts. You will partner with global Control Room teams and regional stakeholders to apply consistent policies and manage emerging risks.
Job responsibilities
- Review investment banking transactions and research content to identify and manage compliance and operational risk considerations
- Help maintain the integrity of information barriers through governance, oversight, and consistent application of Control Room processes
- Partner with Control Room teams in the United States, Europe, the Middle East and Africa, and Asia-Pacific to promote consistent global standards
- Engage Banking, Sales and Trading, and other stakeholders to ensure Watch and Restricted lists are accurate and appropriately maintained
- Review research publications to support compliance with applicable legal and regulatory obligations
- Advise front office stakeholders on permissible interactions with research analysts and related controls
- Support regulatory management, including interpretation of relevant requirements and subject matter expertise for assigned regulations
- Contribute to policies, procedures, training, and awareness activities to strengthen understanding and execution of controls
- Perform monitoring and testing activities and support issue management, including escalation where appropriate
- Identify potential control issues, determine root causes, and drive timely corrective actions with stakeholders
- Support risk assessment, reporting, and risk control self-assessment activities
Required qualifications, capabilities, and skills
- Experience in compliance, risk, or a related controls function
- Strong stakeholder management skills and demonstrated ability to partner on projects
- Strong written and verbal communication skills, with the ability to communicate clearly to senior stakeholders
- Strong attention to detail and commitment to high-quality work output
- Strong analytical and problem-solving skills
- Proficiency with Microsoft Office applications (Excel, PowerPoint, Word)
- Ability to work independently and collaboratively as part of a team
Preferred qualifications, capabilities, and skills
- Prior experience in a Control Room, Research Compliance, or Investment Banking Compliance role
- Bachelor’s degree or MBA; professional certification preferred
- Proficiency in Japanese and English