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About the Role

This role ensures the identification, escalation, and timely mitigation of compliance and operational risks in Japan, aligning with global policies and procedures. It primarily supports Global Corporate and Investment Banking (GCIB) businesses, requiring a strong understanding of Japanese laws and regulations like the Financial Instruments and Exchange Act (FIEA). The position involves reviewing business activities, transactions, and compliance issues, partnering with stakeholders to manage risk and ensure regulatory compliance. Coverage may extend to Research-related activities as needed.

Responsibilities

Supports the execution of the Global Compliance and Operational Risk (GCOR) Program in Japan.
Provides effective review and challenge of Front Line Units (FLUs) and Control Functions (CFs).
Supports Compliance and Operational Risk coverage for Global Corporate and Investment Banking (GCIB) businesses in Japan.
Applies knowledge of Japanese laws and regulations, including the Financial Instruments and Exchange Act (FIEA), to review business activities, transactions, and potential compliance issues.
Assists in identifying, assessing, escalating, and mitigating compliance and operational risks arising from GCIB business activities.
Provides compliance coverage for certain Research-related activities, partnering with Research stakeholders.
Ensures adherence to applicable regulatory requirements, internal policies, and control standards.
Provides day-to-day compliance guidance to business and control partners.
Supports the implementation of regulatory requirements and internal policies.
Supports the preparation of Compliance and Operational Risk reporting and management information for senior management, legal entities, and governance forums.
Supports regulatory examinations, audits, inquiries, and other interactions with regulatory authorities.
Prepares analyses, documentation, and responses for regulatory interactions.
Assists in maintaining a comprehensive regulatory inventory for Japan.
Monitors relevant regulatory developments and supports implementation efforts arising from new or revised laws, rules, and regulations.
Supports the review and remediation of Compliance and Operational Risk issues, including Internal Audit findings, regulatory observations, and self-identified issues.
Communicates effectively with internal stakeholders and external parties, including regulators and auditors, in a professional manner.
Partners with colleagues across Compliance, Legal, Risk, Audit, and business functions to support risk management initiatives.
Achieves common objectives through collaboration.
Contributes to a collaborative and team-oriented culture within the Compliance and Operational Risk organization.
Provides assistance to business leaders in preparation for FLU/CF regulatory examinations, audits, and inquiries.
May perform Money Laundering Reporting Officer responsibilities.

Requirements

Sound understanding of applicable Japanese laws and regulations, including the Financial Instruments and Exchange Act (FIEA) and other relevant regulatory requirements.
Ability to apply regulatory knowledge and risk-based judgment when reviewing business activities, transactions, and potential compliance issues.
Ability to partner with senior Compliance officers, business stakeholders, and control partners.
Ability to communicate professionally with both internal and external stakeholders, including regulators, auditors, and industry participants, under the guidance of senior Compliance management.
Ability to work collaboratively within the broader Compliance and Operational Risk organization and contribute to a team-oriented environment.

Skills

Regulatory Compliance Risk Management
Risk Assessment
Written Communications
Active Listening
Critical Thinking
Issue Management
Process Management
Relationship Building
Knowledge of Japanese Financial Instruments and Exchange Act (FIEA) and related regulations
Regulatory Analysis and Interpretation
Regulatory Examination Support
Verbal Communication and Presentation Skills
Collaboration and Teamwork
Problem Solving

Location

Japan

Work Type

In-office culture
Flexibility based on role-specific responsibilities and business needs

Benefits

Competitive benefits to support their physical, emotional, and financial well-being.

About the Company

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.
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.
Partnering Locally Learn about some of the ways Bank of America is making a difference in the communities we serve.
Global Impact Learn about the six areas that guide Bank of America’s efforts to help make financial lives better for customers, clients, communities and our teammates.
Opportunity and Inclusion Each employee brings unique skills, background and opinions.
We see opportunity and inclusion as our platform for innovation and a key component in our success.
Our Values Learn about our four values that represent what we believe.