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Assistant Vice President / Vice President, Compliance Control Room Specialist

Tokyo, , Japan

Job Description:

About Bank of America

Our purpose as a firm is to make financial lives better, through the power of every connection. Across the world, we partner with leading corporate and institutional investors through our offices in more than 35 countries. In the U.S. alone, we serve almost all of the Fortune 500 companies and approximately 67 million consumer and small-business clients. We provide a full suite of financial products and services, from banking and investments to asset and risk management. We cover a broad range of asset classes, making us a global leader in corporate and investment banking, sales and trading.

Connecting Asia Pacific to the world

Our Asia Pacific team is spread across 19 cities in 12 markets. We are focused on connecting Asia to the world and the world to Asia, using our global expertise to ensure success is shared between us, our clients and our communities. Our regional footprint covers 12 currencies, more than a dozen languages and five time zones, placing us firmly among the region’s leading financial services companies.

Position Description

The Global Control Room (GCR) function is one that is business critical and the GCR plays a key role in assisting the lines of business in implementing, monitoring, testing and enforcing the Enterprise Information Wall Policy.

This position is to support the existing GCR team on daily tasks as well as working with our key partners in the business.

Global Compliance is an independent, centralized governance and control function with responsibility for dedicatedly handling compliance risk, including building compliance program standards and policies and executing compliance testing and monitoring. The mission of Global Compliance is to drive a Culture of Compliance® with laws and regulations in pursuit of the highest ethical standards for our customers, employees and shareholders.

Key Responsibilities

  • Execution of the Global Compliance Policy and the Compliance Risk Standards as applicable for the Enterprise Information Wall Compliance Program
  • Provide information wall subject matter expertise/advisory support to the lines of business and support partners
  • Reviewing transactions for maintaining/updating the Watch and Restricted Lists
  • Review research reports (both Japanese and English versions) prior to public dissemination of issuers on the Watch and/or Restricted Lists
  • Facilitate and document wall crossings of public side employees
  • Perform reviews associated with timely notification to the Global Control Room of Watch and Restricted List updates and compliance with wall crossing procedures
  • Perform trade preclearance against the firm’s Restricted List
  • Provide training and awareness to the lines of business and their support partners on information wall topics
  • Review non-deal road-shows, presenters at GBAM Conferences, and Research Analyst conference calls against the Watch and Restricted Lists
  • Assist with all Monitoring & Testing requirements of the team
  • Contribute to global technology projects by providing system enhancement ideas and changes as well as participating in UATs
  • Respond to requests and inquiries in connection with internal audits and regulatory inspections/examinations
  • This role may contribute as a manager responsible for providing leadership direction to attract, assess, develop, motivate and retain a small team, or may act as an individual contributor

Key Requirements

  • Educated to Degree level or equivalent experience
  • Previous experience in Compliance and/or securities background with at least 5+ years’ experience or specific Control Room experience would be helpful
  • Good understanding of information barrier regulations and industry standards relevant to the functions of a Global Control Room
  • An understanding of securities laws and regulatory framework in Japan.  Familiarity with US securities laws and UK, Irish, Hong Kong and Singapore Takeover Panel rules is also preferable
  • Familiarity with investment banking/capital markets businesses and transactions is desirable
  • Ability to work in a demanding, high-energy environment, calmly within tight deadlines and call out appropriately
  • Show initiative and react quickly to changes in priorities with the ability to quickly learn new procedures
  • Professional approach with a clear and logical thought process and attention to detail
  • Demonstrate excellent communication skills with the ability and confidence to discuss issues at a senior level
  • Consistent record in building and maintaining good relationships within Compliance and the business
  • Motivated and reliable, ability to work well and seamlessly within a team
  • Excellent organizational skills, able to prioritize daily tasks with project work as well as ad hoc requests
  • Native level Japanese and business level English to communicate effectively with internal and external stakeholders
  • Willingness for 7:15 am start (after being trained) and maturity to work on own initiative

Learn more about this role

Full time


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Check out the Tokyo office

We’re in the heart of Tokyo and the “center of Japan”, a stone’s throw from Nihonbashi Bridge, the Tokyo Stock Exchange and historic temples.

Close-up side shot of the words Bank of America Merrill Lynch on outside office wall

Street Address

Primary Location:
1-4-1 NIHONBASHI, CHUO-KU, Tokyo, 103-0027