Controls Officer - Investment Bank

Location: Tokyo, Japan
Job Type: 正社員
Salary ¥10000000 - ¥12000000 per annum
Specialization: 銀行・金融・保険
Sub-specialization オペレーション / ミドル・オフィス
お問合せ Kazuhiro Asaga
参照 JO-1810-405577
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[Company Summary ]
Global Investment Bank


  • Support/lead in trouble shooting and unlocking key control / risk related issues, making sense out of ambiguity and drawing on knowledge of the function and other group wide initiatives to make sound judgments.
  • Support the development and implementation of appropriate governance and reporting structures that provide insightful reporting and oversight on the maturity of all aspects of compliance and risk & control profile across business areas.
  • Mature the control framework and, where necessary, advise on remedial actions to fix control issues to ensure compliance with Group Policies and External Regulations.
  • Support local management's internal governance, including key risk oversight and reporting, tracking completion of control related actions.
  • Provide insight into current control effectiveness by analyzing business risk and performance indicators, weighing up the cost vs. risk of each control. This includes bench-marking against external industry standards, then recommending and designing solutions to improve the control environment.
  • Support local management during regulatory inspections and with any regulatory requests.
  • Help develop forward looking metrics to predict emerging trends and themes, preventing issues before they occur across the customer journey (on-boarding, customer lifecycle management through to exit). Where possible, identify and oversee the deployment of automated controls to reduce cost and increase customer satisfaction.
  • Work with stakeholders (e.g. Risk, Financial Crime, Compliance, Audit and Business senior leadership) to ensure that there is adequate governance around implementing new Compliance, Risk and Financial Crime policies and procedures.
  • Provide training (as required) on Enterprise Risk Management Framework (ERMF) and the Control Framework (CF).
  • Conduct current state assessments, presenting findings and recommendations, negotiating changes in control SLA's and leading implementation plans.
  • Provide day-to-day support to staff as well as coaching and feedback to individuals at senior levels, where required.


  • Strong command of both Japanese and English is required to be able to effectively communicate with both local regulators and global leadership.
  • Undergraduate degree or relevant business experience.
  • Experience of working in a control management team (i.e. Front Office Controls, Audit, Risk, Compliance) within financial services.
  • Understanding of the Japan regulatory framework and experience with the practical application of regulations.
  • Strong communication abilities with well-developed report writing skills and presentation skills, including self-organization, planning and project management abilities.
  • Ability to consolidate and process information from multiple sources to create meaning insight and reporting for stakeholders.
  • Ability to form and debate an opinion and constructively challenge stakeholders at all levels.

[Preferred Knowledge, Skills and Abilities]

  • Commercial awareness and product knowledge of complex trading products.
  • Understanding of the market, credit and operational risks operating facing trading and banking business.
  • Awareness of all aspects of Conduct and Operational Risk, and the ability to apply this within a Financial Services context.
  • Strong interpersonal skills and the ability to build excellent working relationships with the business.
  • Ability to establish their own network and identify colleagues with whom it is appropriate to collaborate with across different business functions / areas.
  • CIA, CPA, ACA or equivalent qualification from Audit / Risk or relevant Business background.
  • Thorough knowledge of relevant PC packages, e.g. Word, Power Point & Excel.

[Employment Type]
Full Time Employee

[Work Location]

10 Million Yen ~12 Million Yen
(Experiences and skills will be considered)

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