Key Responsibilities 

Control‑Room

o     Advise Private‑Side units and other business lines on all control-room related matters.

o     Identify, assess and mitigate conflicts of interest; manage information‑barrier requests.

o     Maintain and update the firm’s Restricted, Watch & Grey Lists.

o     Detect, evaluate and escalate breaches/ incidents; own KPI reporting for senior management.

o     Review and enhance Control‑Room policies, procedures and operating processes; champion system‑wide improvements.

Private‑Side Advisory

o     Deliver day‑to‑day compliance guidance to deal teams in private side business lines with primary focus on equity related primary deals.

o     Align decisions and operating models with other Compliance officers and business lines for consistency.

o     Design and deliver targeted training to front‑office and support functions on regulatory rules, policies and procedures.

o     Lead regulatory watch: translate rule changes into internal policy updates, liaise with Legal, Risk, COOs and regional teams to future‑proof the control framework.

o     Support regulator engagements – draft responses, manage inspections and ensure timely, accurate submissions.

o     Contribute to, and own, control‑plan development (regulatory controls, FSA‑related controls, etc.).

o     Preserve and evolve the Group’s internal‑control framework, standards and procedures.

o     Provide expert advice across business lines; coordinate investigations and cross‑regional compliance matters.

o     Report transparently to Compliance Management through established channels.

Competencies (Technical/Behavioural)

o     Preferably long-time experience of Private Side Advisory Compliance with various equity related primary deals, having the capacity to cover all control-room related tasks.

o     Business level English (with AI help) and Japanese

o     Strong interpersonal skills with the ability to communicate and consult at all levels, especially with Senior Management

o     Committed to confidentiality, integrity and objectivity

o     Strong sense of ethics

o     Capacity to take initiatives