Wholesale IT Risk and Control team - Regional Lead

The role of Wholesale IT Risk and Control Regional lead will provide strategic and leadership vision on 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 to the Global Head of Wholesale IT Risk & Control lead and locally to the regional Head of Wholesale Production Services, the candidate in this role will serve 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.

The team champions diversity and inclusivity as drivers of innovation and excellence, welcoming collaborative professionals who bring both proven expertise and an eagerness to master emerging technologies.

Provide vision and leadership by defining and managing governance framework to oversee and deliver adequate timely management reporting on the firm’s compliance with regional regulatory mandates

Establish strategic repeatable processes to ensure consistent compliance with JFSA regulations, including but not limited to Economic Security Act Promotion Act “ESPA”. The processes should tackle:

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

Foster career development for Japan IT Risk and Control members, working with global functional leads to unlock team potential and support professional growth

Oversee vendor relationships and contract negotiations to optimize service delivery and cost-effectiveness

Ensure compliance with company rules and regulations for all staff under management