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Underwriting Risk & Compliance - VP

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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.


  • 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.


Consultant Details

Consultant Details

Steven Howden
Steven Howden