Location: Tokyo-To, Japan

Lead the compliance, conduct and operational risk agenda across Japan and help shape how integrity, governance, and effective risk management are embedded in day-to-day decision-making. In this role, you will partner with senior leaders, provide independent oversight and constructive challenge, and strengthen a control environment that supports sustainable business growth as well as and interact with regulators day-to-day and regulatory exams.

 

As a Managing Director, Deputy Head of Compliance, Conduct and Operational Risk in Risk Management and Compliance, you will lead the local second-line program across Japan legal entities, helping ensure risks are identified early, assessed rigorously, and managed effectively. You will oversee a high-performing team, provide independent challenge to strengthen governance and control effectiveness, and partner with regional and global stakeholders to deliver consistent outcomes and strong regulatory readiness.

 

Job responsibilities

• Lead the compliance, conduct and operational risk program across Japan legal entities in line with applicable regulatory requirements and firmwide standards
• Provide independent oversight and constructive challenge to strengthen governance, risk management, and control frameworks
• Manage and develop a local team, setting clear priorities and fostering accountability, sound judgment, and a strong risk culture
• Deliver a risk-based compliance program across advisory, monitoring, testing, issue management, and senior management reporting
• Advise businesses on financial crime compliance requirements, including anti-money laundering, sanctions, and client due diligence, and oversee the effectiveness of related controls
• Monitor regulatory developments and drive implementation oversight for policy, regulatory, and control enhancements
• Conduct risk assessments and oversee the design and execution of independent control testing across key business and functional processes
• Escalate control concerns as appropriate and track remediation to timely closure through effective governance
• Act as a primary point of contact for local regulators and lead the governance of examinations, inspections, investigations, and regulatory interactions
• Oversee required regulatory reporting and notifications related to suspicious, fraudulent, or other reportable matters, where applicable
• Support governance for new products, business initiatives, material change, and outsourcing arrangements by assessing compliance requirements and control readiness

 

Required qualifications, capabilities and skills

• Minimum 15 years of experience in banking, financial services, or a similarly regulated environment
• Minimum 10 years of experience in Compliance, Conduct, Operational Risk, or a closely related control function
• Demonstrated experience leading country-level compliance and operational risk oversight within a regulated financial institution
• Demonstrated experience leading regulatory examinations, inspections, investigations, and remediation programs to closure
• Strong working knowledge of Japan regulatory expectations and the legal and regulatory frameworks applicable to financial institutions
• Proven experience managing and developing senior professionals and building high-performing teams
• Strong ability to assess control design and operating effectiveness, identify gaps, and drive remediation through governance and influence
• Excellent written and verbal communication skills in Japanese and English, including the ability to engage effectively with senior stakeholders and regulators
• Strong interpersonal, negotiation, and influencing skills across business, control, and functional partners
• Ability to meet applicable regulatory fit-and-proper expectations for senior management roles in Japan, as required for the roles scope
• Internal Control Manager qualification of the Japan Securities Dealers Association.

 

Preferred qualifications, capabilities and skills

• Professional certification in compliance, risk, audit, or financial crime prevention
• Experience in a global financial institution with cross-border regulatory and business exposure
• Experience overseeing outsourcing and third-party risk from a compliance or control perspective
• Experience advising on data privacy requirements and associated control frameworks in financial services
• Experience supporting governance and approvals for new products, activities, and major change initiatives
• Strong analytical capability, including the use of metrics and thematic analysis to prioritize control enhancements
• Experience participating in regulatory or industry forums, consultations, or working groups

Deputize to the Chief Compliance Officer to lead second-line oversight, strengthening governance, controls, and risk culture