This is a rare opportunity to join a global investment bank operating in a strategic partnership with an established foreign firm. As a Control Room Compliance VP, you will oversee conflicts management, information barriers, and monitoring processes that safeguard the integrity of the firm's operations. You will collaborate closely with Japan and global compliance teams, supporting major transactions and contributing to cross-border compliance initiatives within a diverse and international environment.
Key Responsibilities
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Provide guidance to business teams on conflicts management, information barriers, wall crossings, deal tree oversight, and Watch/Restricted List matters.
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Ensure conflicts of interest are reviewed and assessed before key engagements or transactions.
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Oversee Control Room monitoring activities and maintain the Watch List and Restricted List.
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Keep Control Room policies and procedures current and effective.
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Manage the firm's conflicts management system, including accurate entries for transactions, wall crossings, deal trees, and public/private classifications.
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Review Outside Business Interests and Private Investments for potential conflicts.
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Coordinate with global and affiliate compliance teams on information barriers and conflict review standards.
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Develop and deliver training on information barriers, information handling, and conflict management systems.
Required Skills and Qualifications
Experience:
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5+ years of compliance or legal experience, preferably in Capital Markets or a foreign banking environment.
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Strong understanding of regulations related to conflicts management and information barriers.
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Proficiency in Excel and MS Office; familiarity with information management systems is beneficial.
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Bachelor's degree in Law, Commerce, Economics, or a related discipline.
Soft Skills:
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Excellent communication and collaboration skills.
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Strong analytical thinking with the ability to propose practical solutions.
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Highly organized and able to manage multiple priorities.
Language Requirements:
Preferred Skills & Qualifications
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Experience collaborating with global compliance teams.
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Exposure to cross-border advisory or capital markets environments.
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Understanding of public/private information classifications and surveillance processes.
About the Company
Our client is a leading Japanese investment banking subsidiary recognized for its global capital markets expertise, advisory services, and strong integration with an international financial group. The firm offers a unique environment where global and local compliance frameworks operate together, providing broad exposure and opportunities for professional growth.
Why You'll Love Working Here
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Competitive compensation at global investment banking standards.
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Opportunity to work at the headquarters of a major investment bank.
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Play a key role in managing compliance risks between two financial entities.
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Participate in global compliance initiatives within a diverse international team.
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Flexible working arrangements including remote work and flex time.
Don't Miss Out - Apply Now!
