【外資系投資銀行】プライベートサイド・コントロールルームアドバイザリー｜年収2,000万円以上

外資系投資銀行にて、プライベートサイド・コントロールルームアドバイザリーを担うシニアポジションです。

株式による資金調達やプライマリー案件、クロスボーダー案件において、ディールチームに対するコンプライアンス面からの助言を担当します。

情報管理、利益相反、Wall-Crossingなどのコントロールを担うほか、Control Roomの運用高度化やシステム改善、規制対応もリードします。

日本の規制動向を踏まえた社内ポリシーの整備、規制当局対応、内部統制上の問題への対応など、幅広いガバナンス業務に携わります。

Legal・Risk・COOなどのリージョナルチームとも連携し、拡大するキャピタルマーケッツビジネスを支えるポジションです。

• 株式による資金調達やプライマリー案件におけるディールチームへのコンプライアンスアドバイス
• エクイティ・ソリューションやクロスボーダー資金調達案件に関するコンプライアンス対応
• Restricted、Watch、Grey Listの管理および利益相反の確認
• ビジネスラインをまたぐWall-Crossingリクエストの管理
• コントロールルームの業務プロセス改善および運用体制の高度化
• コントロールルーム関連システムのアップグレードおよび年次規制管理計画の推進
• 日本の規制動向をモニタリングし、社内ポリシー・ルールへの反映を推進
• リージョナルのLegal、Risk、COOチームとの連携
• 規制当局による検査への対応および当局提出資料の作成
• 内部統制上の問題・違反事案の調査および主要リスク指標のレポーティング
• コンプライアンスリーダーシップへのリスク・ガバナンス状況の報告

Join a premier international financial group in Tokyo in a senior Control Room Compliance & Private-Side Advisory position, supporting the expansion of its capital markets franchise in Japan.

This is a high-visibility compliance role focused on Control Room governance, private-side equity transactions, ECM, information barriers, conflicts of interest, wall crossing, and market conduct. You will work directly with senior deal teams executing primary equity transactions, structured equity solutions, and cross-border capital raising activities.

As a trusted compliance advisor to the front office, you will provide practical guidance throughout transaction execution while protecting confidential information and maintaining effective information barriers. You will also oversee Restricted, Watch, and Grey Lists, assess potential conflicts, manage wall-crossing requests, and strengthen the firm's Control Room framework.

Beyond transaction advisory, the role includes Japanese regulatory monitoring, policy development, regulatory inspections, investigations, systems enhancement, and direct reporting of key compliance risks to senior leadership.

For an experienced Control Room, private-side compliance, ECM, or Capital Markets professional, this is an opportunity to have direct front-office impact while helping establish and strengthen the compliance framework supporting a growing capital markets platform in Tokyo.

• Provide Control Room and private-side compliance advice to deal teams executing primary equity transactions, structured equity solutions, and cross-border capital raises.
• Act as a trusted compliance advisor to senior ECM and Capital Markets professionals throughout transaction planning and execution.
• Maintain and administer Restricted Lists, Watch Lists, and Grey Lists in accordance with regulatory requirements and internal policies.
• Assess actual and potential conflicts of interest arising from transactions, client relationships, and activities across different business lines.
• Review and manage wall-crossing requests, ensuring appropriate handling of material non-public information and transaction confidentiality.
• Support effective information barriers between private-side and public-side businesses.
• Advise deal teams on information handling, confidentiality protocols, market conduct, and relevant compliance requirements.
• Refine and enhance Control Room operating procedures as the Japan Capital Markets business expands.
• Lead or support Control Room system upgrades and related operational improvements.
• Drive annual regulatory control plans and ensure relevant controls are implemented and monitored effectively.
• Monitor developments in Japanese financial regulations and assess their impact on Capital Markets and private-side activities.
• Translate regulatory changes into practical updates to internal policies, procedures, and controls.
• Partner with regional Legal, Risk, Compliance, and COO teams to ensure alignment between Japan requirements and regional governance frameworks.
• Manage and support regulatory inspections and requests from relevant Japanese authorities.
• Draft official regulatory submissions and supporting documentation.
• Investigate potential control breaches, identify root causes, and support appropriate remediation.
• Analyse and report key compliance and risk metrics directly to Compliance leadership.

必須条件 経験・資格：

• コントロールルーム、プライベートサイド・アドバイザリーの実務経験
• またはキャピタルマーケッツのフロント経験、プライベートサイド取引の監査経験
• 情報管理、利益相反、ディール機密情報の管理に関する実務知識
• 日本の金融規制・市場規制およびコンプライアンスに関する知識
• 大卒以上

• シニアなディールメーカーに対して、自信を持って提言を行えるアドバイザリー能力
• 利益相反や情報管理などの重要なリスクを総合的に捉えられる判断力
• 高い倫理観と誠実性を持ち、規制・社内ルールを徹底して遵守するプロフェッショナル意識
• 自ら課題を見つけ、関係者を巻き込みながら主体的に解決へ導く実行力

• 日本語：ネイティブレベル（読み書き・会話）
• 英語：ビジネスレベル

• ECM、キャピタルマーケッツに精通している方
• クロスボーダーの資金調達・証券取引に関する実務経験
• 法務、リスクなどの関連領域の知見

大手外資系金融グループ。

グローバルにキャピタルマーケッツ事業を展開し、クロスボーダーのアドバイザリーやストラクチャード・ファイナンスなど、幅広い金融ソリューションを提供しています。

• キャピタルマーケッツの重要案件を支える、シニア・アドバイザリーポジション
• ディールメーカーに直接助言し、Private Sideのリスク・ガバナンスをリード
• Control Roomの運用高度化や規制対応を担う高い裁量
• Global Legal・Risk・COOと連携するリージョナルな環境
• ハイブリッドワーク可
• 基本給2,000万円以上（経験・スキルにより応相談）＋ボーナス

• Extensive experience in Control Room operations, private-side compliance advisory, or Capital Markets transaction execution.
• Strong practical knowledge of information barriers, conflicts of interest, transaction confidentiality, and wall-crossing procedures.
• Strong understanding of Japanese financial regulation and JFSA market conduct requirements relevant to Capital Markets activities.
• Experience advising on private-side transactions, particularly equity or Capital Markets-related activity.
• Experience working directly with senior deal teams, front-office professionals, or transaction stakeholders.
• Experience maintaining or overseeing Restricted, Watch, or Grey Lists and related Control Room processes.
• Ability to interpret regulatory developments and translate requirements into policies, procedures, and operational controls.
• Experience supporting regulatory inspections, compliance investigations, or regulatory submissions.
• More than 6 years of relevant professional experience.
• Bachelor's degree.

• Strong interpersonal and advisory capabilities with the confidence to challenge and advise senior deal-makers.
• High ethical standards, integrity, and sound judgement when handling sensitive or confidential information.
• Proactive and independent working style with strong ownership of compliance responsibilities.
• Ability to provide practical, commercially aware compliance guidance while maintaining regulatory standards.
• Strong analytical and problem-solving skills when assessing conflicts, control breaches, and regulatory risks.
• Excellent stakeholder management skills across Front Office, Compliance, Legal, Risk, and COO functions.
• Ability to operate effectively in a high-pressure transaction environment involving confidential and market-sensitive information.
• Strong attention to detail and disciplined execution.

• Japanese: Native / Fluent, written and spoken
• English: Business level

• Previous experience directly within front-office ECM, Equity Capital Markets, or broader Capital Markets.
• First-line experience executing private-side transactions.
• Audit experience covering private-side or Capital Markets transactions.
• Experience supporting primary equity offerings, structured equity solutions, or cross-border capital raising.
• Experience within a global investment bank, securities firm, or international Capital Markets business.
• Exposure to Control Room technology, systems enhancement, or process transformation.

Our client is a premier international financial group with a significant global presence across Capital Markets, cross-border advisory, and structured financing.

The organisation combines international product expertise with local market capabilities, supporting sophisticated corporate and institutional clients across major financial centres.

Its expanding Japan Capital Markets platform creates an important need for experienced compliance professionals who can combine Control Room expertise, private-side advisory, Japanese regulatory knowledge, and direct front-office engagement to support sustainable business growth.

• Take on a high-visibility Control Room and private-side advisory role supporting an expanding Capital Markets franchise in Tokyo.
• Work directly with senior ECM and Capital Markets deal-makers on live transactions.
• Gain exposure to primary equity transactions, structured equity solutions, and cross-border capital raising.
• Play an important role in strengthening Control Room governance as the Japan business expands.
• Combine transaction advisory with regulatory policy, monitoring, investigations, systems enhancement, and governance responsibilities.
• Work independently while receiving the backing of regional Legal, Risk, Compliance, and COO teams.
• Join a prestigious international investment banking and Capital Markets environment.
• Benefit from hybrid and remote/WFH flexibility.
• Receive a competitive annual compensation package of ¥20M-¥25M.