Control Room Compliance - ECM & Capital Markets Tokyo

Join a premier international financial group in Tokyo in a senior Control Room Compliance & Private-Side Advisory position, supporting the expansion of its capital markets franchise in Japan.

This is a high-visibility compliance role focused on Control Room governance, private-side equity transactions, ECM, information barriers, conflicts of interest, wall crossing, and market conduct. You will work directly with senior deal teams executing primary equity transactions, structured equity solutions, and cross-border capital raising activities.

As a trusted compliance advisor to the front office, you will provide practical guidance throughout transaction execution while protecting confidential information and maintaining effective information barriers. You will also oversee Restricted, Watch, and Grey Lists, assess potential conflicts, manage wall-crossing requests, and strengthen the firm's Control Room framework.

Beyond transaction advisory, the role includes Japanese regulatory monitoring, policy development, regulatory inspections, investigations, systems enhancement, and direct reporting of key compliance risks to senior leadership.

For an experienced Control Room, private-side compliance, ECM, or Capital Markets professional, this is an opportunity to have direct front-office impact while helping establish and strengthen the compliance framework supporting a growing capital markets platform in Tokyo.

Key Responsibilities

• Provide Control Room and private-side compliance advice to deal teams executing primary equity transactions, structured equity solutions, and cross-border capital raises.
• Act as a trusted compliance advisor to senior ECM and Capital Markets professionals throughout transaction planning and execution.
• Maintain and administer Restricted Lists, Watch Lists, and Grey Lists in accordance with regulatory requirements and internal policies.
• Assess actual and potential conflicts of interest arising from transactions, client relationships, and activities across different business lines.
• Review and manage wall-crossing requests, ensuring appropriate handling of material non-public information and transaction confidentiality.
• Support effective information barriers between private-side and public-side businesses.
• Advise deal teams on information handling, confidentiality protocols, market conduct, and relevant compliance requirements.
• Refine and enhance Control Room operating procedures as the Japan Capital Markets business expands.
• Lead or support Control Room system upgrades and related operational improvements.
• Drive annual regulatory control plans and ensure relevant controls are implemented and monitored effectively.
• Monitor developments in Japanese financial regulations and assess their impact on Capital Markets and private-side activities.
• Translate regulatory changes into practical updates to internal policies, procedures, and controls.
• Partner with regional Legal, Risk, Compliance, and COO teams to ensure alignment between Japan requirements and regional governance frameworks.
• Manage and support regulatory inspections and requests from relevant Japanese authorities.
• Draft official regulatory submissions and supporting documentation.
• Investigate potential control breaches, identify root causes, and support appropriate remediation.
• Analyse and report key compliance and risk metrics directly to Compliance leadership.

Required Skills and Qualifications

Experience:

• Extensive experience in Control Room operations, private-side compliance advisory, or Capital Markets transaction execution.
• Strong practical knowledge of information barriers, conflicts of interest, transaction confidentiality, and wall-crossing procedures.
• Strong understanding of Japanese financial regulation and JFSA market conduct requirements relevant to Capital Markets activities.
• Experience advising on private-side transactions, particularly equity or Capital Markets-related activity.
• Experience working directly with senior deal teams, front-office professionals, or transaction stakeholders.
• Experience maintaining or overseeing Restricted, Watch, or Grey Lists and related Control Room processes.
• Ability to interpret regulatory developments and translate requirements into policies, procedures, and operational controls.
• Experience supporting regulatory inspections, compliance investigations, or regulatory submissions.
• More than 6 years of relevant professional experience.
• Bachelor's degree.

Soft Skills:

• Strong interpersonal and advisory capabilities with the confidence to challenge and advise senior deal-makers.
• High ethical standards, integrity, and sound judgement when handling sensitive or confidential information.
• Proactive and independent working style with strong ownership of compliance responsibilities.
• Ability to provide practical, commercially aware compliance guidance while maintaining regulatory standards.
• Strong analytical and problem-solving skills when assessing conflicts, control breaches, and regulatory risks.
• Excellent stakeholder management skills across Front Office, Compliance, Legal, Risk, and COO functions.
• Ability to operate effectively in a high-pressure transaction environment involving confidential and market-sensitive information.
• Strong attention to detail and disciplined execution.

Language Requirements:

• Japanese: Native / Fluent, written and spoken
• English: Business level

Preferred Skills & Qualifications

• Previous experience directly within front-office ECM, Equity Capital Markets, or broader Capital Markets.
• First-line experience executing private-side transactions.
• Audit experience covering private-side or Capital Markets transactions.
• Experience supporting primary equity offerings, structured equity solutions, or cross-border capital raising.
• Experience within a global investment bank, securities firm, or international Capital Markets business.
• Exposure to Control Room technology, systems enhancement, or process transformation.

About the Company

Our client is a premier international financial group with a significant global presence across Capital Markets, cross-border advisory, and structured financing.

The organisation combines international product expertise with local market capabilities, supporting sophisticated corporate and institutional clients across major financial centres.

Its expanding Japan Capital Markets platform creates an important need for experienced compliance professionals who can combine Control Room expertise, private-side advisory, Japanese regulatory knowledge, and direct front-office engagement to support sustainable business growth.

Why You'll Love Working Here

• Take on a high-visibility Control Room and private-side advisory role supporting an expanding Capital Markets franchise in Tokyo.
• Work directly with senior ECM and Capital Markets deal-makers on live transactions.
• Gain exposure to primary equity transactions, structured equity solutions, and cross-border capital raising.
• Play an important role in strengthening Control Room governance as the Japan business expands.
• Combine transaction advisory with regulatory policy, monitoring, investigations, systems enhancement, and governance responsibilities.
• Work independently while receiving the backing of regional Legal, Risk, Compliance, and COO teams.
• Join a prestigious international investment banking and Capital Markets environment.
• Benefit from hybrid and remote/WFH flexibility.
• Receive a competitive annual compensation package of ¥20M-¥25M.

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