Wholesale IT Regional Risk and ControlSenior Associate

The role of Wholesale IT regional Risk and Control team member will provide strategic service core to achieving and maintaining full compliance with the Firms Risk and Control Framework and the Regional Regulatory requirements.

The position combines critical thinking, regulatory environment savviness, relationship building and delivery excellence.

Reporting functionally and locally to the regional IT Risk and Control lead, the candidate in this role will support the Risk and Control lead in serving as the key liaison between regulators, regional management and corporate stakeholders, ensuring seamless adoption of regulatory mandates, including Economic Security Promotion Act (ESPA), and the Technology Risk Framework.

Risk and Control environment is dynamic and continually evolving. It is impacted by regional and global internal and regulatory drivers.

Support and drive the implementation of regional governance framework to oversee and deliver adequate timely management reporting on the firm’s compliance with regional regulatory mandates

Execute strategic repeatable processes to ensure consistent compliance with JFSA regulations, including, but not limited to, Economic Security Promotion Act “ESPA”. The processes address: ‐Scope Management: Assess new applications and material changes to existing applications‐Change Management: planning, tracking and reporting of remediation activities. Onboarding of new applications‐Vendor & Contract Management: timely engagement with vendor to secure required materials, assess changes and manage exceptions to achieve compliance. Engage legal teams when needed to review and amend contracts as needed‐Regulatory Engagement: Active engagement with JFSA and quality submissions of required templates. Follow ups on regulators inquiries, tracking of open matters and securing required regulatory approvals

Inform, and advice, Wholesale IT management on Technology Risk and Control framework including global IT policies & standards mandates, key processes and exception management.

Partner with local Risk and Control teams on process improvements, information sharing, local reporting and scope management

Protect the firm from IT risks through accountability for oversight and improvements across regulatory, risk and control disciplines

Enhance management of risk and control capabilities by driving automation initiatives and enhanced reporting

Stay current with industry trends and regulatory requirements to identify and resolve implementation gaps

Establish governance and control process required to meet local regulatory requirement, own its execution engaging internal stakeholders within IT organization.

Bring deep understanding of Japan's business and regulatory environment

Work closely with Regional Management, Operational Risk Management, and internal and external Audit to ensure IT Risk and Control deliverables are defined and executed to agreed schedules

Ensure IT teams across Wholesale and Corporate functions adhere to relevant technology policies and controls

Maintain acute awareness of compliance obligations and operate with precision within rigorous regulatory and audit frameworks