Managing Director, Deputy Head of Compliance, Conduct and Operational Risk

Lead the compliance, conduct and operational risk agenda across Japan and help shape how integrity, governance, and effective risk management are embedded in day-to-day decision-making. In this role, you will partner with senior leaders, provide independent oversight and constructive challenge, and strengthen a control environment that supports sustainable business growth as well as and interact with regulators day-to-day and regulatory exams.

 

As a Managing Director, Deputy Head of Compliance, Conduct and Operational Risk in Risk Management and Compliance, you will lead the local second-line program across Japan legal entities, helping ensure risks are identified early, assessed rigorously, and managed effectively. You will oversee a high-performing team, provide independent challenge to strengthen governance and control effectiveness, and partner with regional and global stakeholders to deliver consistent outcomes and strong regulatory readiness.

 

Job responsibilities

• Lead the compliance, conduct and operational risk program across Japan legal entities in line with applicable regulatory requirements and firmwide standards
• Provide independent oversight and constructive challenge to strengthen governance, risk management, and control frameworks
• Manage and develop a local team, setting clear priorities and fostering accountability, sound judgment, and a strong risk culture
• Deliver a risk-based compliance program across advisory, monitoring, testing, issue management, and senior management reporting
• Advise businesses on financial crime compliance requirements, including anti-money laundering, sanctions, and client due diligence, and oversee the effectiveness of related controls
• Monitor regulatory developments and drive implementation oversight for policy, regulatory, and control enhancements
• Conduct risk assessments and oversee the design and execution of independent control testing across key business and functional processes
• Escalate control concerns as appropriate and track remediation to timely closure through effective governance
• Act as a primary point of contact for local regulators and lead the governance of examinations, inspections, investigations, and regulatory interactions
• Oversee required regulatory reporting and notifications related to suspicious, fraudulent, or other reportable matters, where applicable
• Support governance for new products, business initiatives, material change, and outsourcing arrangements by assessing compliance requirements and control readiness

 

Required qualifications, capabilities and skills

• Minimum 15 years of experience in banking, financial services, or a similarly regulated environment
• Minimum 10 years of experience in Compliance, Conduct, Operational Risk, or a closely related control function
• Demonstrated experience leading country-level compliance and operational risk oversight within a regulated financial institution
• Demonstrated experience leading regulatory examinations, inspections, investigations, and remediation programs to closure
• Strong working knowledge of Japan regulatory expectations and the legal and regulatory frameworks applicable to financial institutions
• Proven experience managing and developing senior professionals and building high-performing teams
• Strong ability to assess control design and operating effectiveness, identify gaps, and drive remediation through governance and influence
• Excellent written and verbal communication skills in Japanese and English, including the ability to engage effectively with senior stakeholders and regulators
• Strong interpersonal, negotiation, and influencing skills across business, control, and functional partners
• Ability to meet applicable regulatory fit-and-proper expectations for senior management roles in Japan, as required for the role’s scope
• Internal Control Manager qualification of the Japan Securities Dealers Association.

 

Preferred qualifications, capabilities and skills

• Professional certification in compliance, risk, audit, or financial crime prevention
• Experience in a global financial institution with cross-border regulatory and business exposure
• Experience overseeing outsourcing and third-party risk from a compliance or control perspective
• Experience advising on data privacy requirements and associated control frameworks in financial services
• Experience supporting governance and approvals for new products, activities, and major change initiatives
• Strong analytical capability, including the use of metrics and thematic analysis to prioritize control enhancements
• Experience participating in regulatory or industry forums, consultations, or working groups