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Director, Compliance and Operational Risk Manager, Global Markets

Tokyo, , Japan

Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection.  Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.

One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We’re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization.

Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference.  Join us!

Job Description

The Compliance and Operational Risk (C&OR) Manager is responsible for engaging in activities to provide independent compliance and operational risk oversight of Front Line Unit or Control Function (“FLU/CF”) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program and Standard Operating Procedures (SOPs). As a member of an FLU or CF C&OR officer team, the C&OR Manager is accountable for proactive identification, management and escalation of compliance and operational risks through the execution of some or all of the below identified activities. This role exercises judgment and influence and may constructively challenge FLU and CF leaders to support the CORM Program objectives, balancing business strategy with appropriate controls.

The C&OR Manager proactively engages with other C&OR officers, including horizontal coverage owners and Enterprise Areas of Coverage (“EAC”), to provide comprehensive oversight of FLU/CF activities. This role develops and maintains a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The C&OR Manager prepares materials for C&OR regulatory exams/audits/inquiries and may provide consultation to business leaders in preparation for FLU/CF regulatory exams/audits/inquiries.

The C&OR Manager plans, drives and reviews team deliverables to support consistent quality of activities, processes and outputs. This role may contribute as a manager responsible for providing leadership direction to attract, assess, develop, motivate and retain a team, or may act as an individual contributor.


  • Head of Global Markets Compliance is a key senior position with Japan Compliance to provide overall and in depth advice to Global Markets business.
  • This role will support equity and fixed income compliance team.
  • This role is also a very senior leadership position supporting Japan Country Compliance Officer in running the entire Japan Compliance department.
  • Also key role to be a contact point for various regional initiatives and projects.

Required Skills

  • A minimum 12-15 years of experience in compliance or related area.
  • Ideal candidate should have both equity and fixed Income compliance background.  FICC experience is preferred due to our eminent presence in Japan.
  • Experience in managing team and managerial ability to work with other as a senior member within and outside of the department is a must.
  • Experience in managing regulatory relations including inspections.  We expect the candidate to contribute to maintain and improve our robust relationship with regulators as top-tier firm in Japan.
  • Excellent interpersonal and communication skills and a demonstrated ability to work with Solid level of fluency in English and Japanese (verbal and written).
  • Lead and participate in advising on compliance policies, participating in new product reviews, strategic initiatives, complex regulatory matters and providing compliance training as necessary.
  • Maintain effective contact with industry experts to ensure the bank sustains best practice in maintaining effective awareness (and management) of Compliance and Operational risks.

Learn more about this role

Full time


Manages People:

Street Address

Primary Location:
1-4-1 Nihonbashi, Chuo-ku, Tokyo, 103-0027