Underwriting Risk & Compliance - VP

Job Description

A unique opportunity to support the IBD and Capital Markets businesses, ensuring that there is strong risk & compliance governance in the underwriting process.

Roles/Responsibilities

• Execute thorough Due Diligence processes for the bank's underwritten follow-on offerings and IPOs.
• Condense findings of due diligence into comprehensive underwriting review reports, communicating them to the business and other areas of compliance. Furthermore, relay results to IBD and Global Capital Markets.
• Prepare AUP Letters and Comfort Letters pertinent to the offerings.
• Possess in-depth familiarity with JSDA regulations and JFSA statutes associated with underwriting reviews, adapting to revisions when necessary.
• Actively participate in JSDA underwriting Working Groups and underwriting review Working Groups, ensuring effective internal coordination.
• This is a unique opportunity to play a central role in a leading global bank IBD and Capital Market's businesses and to learn in depth about the underwriting process.

Required skills

• An understanding of the underwriting due-diligence processes.
• Ability to read and interpret financial statements, looking for irregularities and areas for further deep-dive assessment.
• Strong communication skills in English and Japanese.

About our client

A leading global financial institution offer divers IBD and Capital Market products to clients in Japan.