Key Responsibilities
Control‑Room
o Advise Private‑Side units and other business lines on all control-room related matters.
o Identify, assess and mitigate conflicts of interest; manage information‑barrier requests.
o Maintain and update the firm’s Restricted, Watch & Grey Lists.
o Detect, evaluate and escalate breaches/ incidents; own KPI reporting for senior management.
o Review and enhance Control‑Room policies, procedures and operating processes; champion system‑wide improvements.
Private‑Side Advisory
o Deliver day‑to‑day compliance guidance to deal teams in private side business lines with primary focus on equity related primary deals.
o Align decisions and operating models with other Compliance officers and business lines for consistency.
o Design and deliver targeted training to front‑office and support functions on regulatory rules, policies and procedures.
o Lead regulatory watch: translate rule changes into internal policy updates, liaise with Legal, Risk, COOs and regional teams to future‑proof the control framework.
o Support regulator engagements – draft responses, manage inspections and ensure timely, accurate submissions.
o Contribute to, and own, control‑plan development (regulatory controls, FSA‑related controls, etc.).
o Preserve and evolve the Group’s internal‑control framework, standards and procedures.
o Provide expert advice across business lines; coordinate investigations and cross‑regional compliance matters.
o Report transparently to Compliance Management through established channels.
Competencies (Technical/Behavioural)
o Preferably long-time experience of Private Side Advisory Compliance with various equity related primary deals, having the capacity to cover all control-room related tasks.
o Business level English (with AI help) and Japanese
o Strong interpersonal skills with the ability to communicate and consult at all levels, especially with Senior Management
o Committed to confidentiality, integrity and objectivity
o Strong sense of ethics
o Capacity to take initiatives
