Bring your Markets compliance expertise to a role where you can influence decisions, strengthen controls, and help businesses innovate responsibly. You will partner closely with business and control stakeholders to solve complex regulatory and operational risk challenges. This is an opportunity to apply critical thinking, drive meaningful change, and support a culture of integrity and accountability.

As a Vice President, Markets Compliance Officer in Compliance, Conduct and Operational Risk, you will provide regulatory guidance and operational risk support to Markets business stakeholders across exchange-traded and over-the-counter activity. You will help identify and address compliance and conduct risks, advise on change initiatives, and strengthen governance through policies, training, monitoring, and issue management. You will work collaboratively with regional and global compliance partners and other control functions to uphold high standards and enable responsible growth.

Job responsibilities

• Provide compliance coverage across exchange-traded and over-the-counter securities activities
• Advise stakeholders on regulatory requirements and emerging supervisory focus areas
• Support governance and oversight through effective engagement, escalation, and documentation
• Provide input on business and change initiatives to help ensure risks are identified and addressed early
• Oversee regulatory compliance considerations for complex derivative-based products across asset classes, including fund-based products
• Provide guidance on market conduct and client protection topics including best execution, fair pricing, front running, and product suitability
• Develop, maintain, and enhance policies, procedures, and standards to support consistent compliance execution
• Deliver and support training and awareness initiatives to strengthen risk culture and understanding of regulatory expectations
• Perform monitoring activities, operational risk assessments, and targeted reviews to assess control effectiveness
• Identify potential compliance and operational risk concerns, determine root causes, and drive timely corrective action plans with stakeholders
• Challenge assumptions with analytical, independent thinking; propose solutions and escalate issues appropriately

Required qualifications, capabilities, and skills

• 6 years of experience in compliance, conduct risk, operational risk, or a related control function supporting Markets or traded products
• Demonstrated knowledge of regulatory expectations relevant to Markets activities, including conduct risk and client protection themes
• Experience providing compliance advisory coverage for exchange-traded and/or over-the-counter securities and derivatives
• Ability to partner effectively with stakeholders across business, compliance, and other control functions to deliver outcomes
• Strong written and verbal communication skills, with the ability to communicate clearly to senior stakeholders
• Strong analytical and problem-solving skills, including the ability to identify root causes and evaluate control gaps
• Experience supporting monitoring, risk assessments, reviews, and issue management processes
• Proficiency with Microsoft Office applications (Excel, PowerPoint, Word)
• Ability to work independently and collaboratively in a team environment
• Proficiency in English and Japanese

Preferred qualifications, capabilities, and skills

• Experience advising on complex derivative-based products across multiple asset classes, including fund-based products
• Familiarity with regulatory best practices across governance, policies, training, monitoring, and issue management frameworks
• Experience supporting regulatory management activities, including responding to inquiries and coordinating deliverables across stakeholders
• Demonstrated ability to drive change initiatives and improvements to control frameworks and processes
• Experience working in a regional role with cross-border stakeholder management across Asia-Pacific