Job Summary
As a Markets Sales Control Manager, you will be integral to the execution of business control priorities and strategies. You will collaborate with stakeholders across functional lines, develop deep understanding of the businesses, their risks, controls, architecture, and products, ensuring a robust control framework. While your primary focus will be the Markets business in Japan, you will also be a part of the global control initiatives.
Job Responsibilities
- Advocate for Front Office interests in control and regulatory initiatives.
- Develop and execute business control strategies and priorities.
- Manage the risk and control governance framework, including reporting.
- Promptly identify, escalate, and document operational errors, conducting thorough risk analyses.
- Advance the control agenda by identifying and addressing control gaps.
- Conduct and implement comprehensive reviews of key firm-wide policies.
- Lead thematic reviews to enhance the control environment.
- Facilitate the execution of supervisory controls and manage exceptions.
- Provide guidance to the business on controls, audits, and testing, as well as overseeing regulatory examinations.
- Ensure timely execution and resolution of issues and action plans.
- Manage regulatory implementations affecting the business.
Required Qualifications, Capabilities, and Skills
- 5+ years of experience in Risk & Controls, Internal Controls Design & Review, or Risk Consulting.
- Bachelor's degree in Finance, Accounting, or business-related discipline.
- Understanding of Equities, Fixed Income products, and markets business.
- Fluent in Japanese language (reading, writing, speaking).
- Awareness of key Japan financial regulations.
- Ability to challenge and guide senior business management effectively.
- Highly motivated, proactive self-starter.
- Good organizational and prioritization skills to manage multiple tasks.
- Strong team player with excellent partnering and influencing skills.
- Investigative mindset with strong analytical and problem-solving skills.
- Excellent Excel, Word, PowerPoint skills.
Preferred Qualifications, Capabilities, and Skills
- Previous experience in Compliance, Controls, or Business Management.
- Ability to see issues at both high-level and in detail.
- Experience in process re-engineering.