Senior Vice President, Business Risk Senior Officer, Institutional Credit Management

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Job Overview

*Japanese follows English

Job Description

Key Responsibilities

Executes, aligned with global and regional strategies, all responsibilities regarding the underwriting review of equity and/or fixed income securities issuances transactions handled by the firm, including, but not limited to:

• Comprehensive review of the issuer's business performance, profit plans, financial condition, internal control systems, disclosures, etc. This includes the end-to-end equity and/or fixed income securities issuances process, from early transaction structuring discussions to the preparation of underwriting review reports and senior approval forums.

• Review and approval of underwriting review reports.

• Partner with Front Office on the execution of equity and/or fixed income securities issuances transactions.

• Facilitate relationships with key clients in Banking and Risk, as well as with key Regulators, Internal Audit, and control functions.

Underwriting Review Experience

• At least 5+ years of experience in underwriting review operations.

• Practical experience and knowledge of underwriting reviews (including business performance and disclosure reviews).

• Knowledge of underwriting review processes tailored to various types of equity and/or fixed income securities issuances transactions..

• Ability to partner with banking and product organizations to discuss and address issues associated with equity and/or fixed income securities issuances transactions.

Client Relationships / Business Partnership

• Proven ability to understand the nuances of the Japanese capital markets, laws, accounting, regulations, and local practices.

• Navigates organizational complexity and breaks silos.

• Creates and sustains a network of strong partnerships with the business in all segments, geographies, and other risk functions.

• Provides well-reasoned, balanced assessments of risk/return trade-offs associated with transactions and client relationships.

• Proven track record of partnering with global peers in leveraging and implementing best practices.

Required Skills and Experience (Desired Qualifications)

• 10+ years of underwriting review or underwriting business experience at a securities firm.

• Proven ability to effectively engage with regulators and internal control functions, including Internal Audit, as well as with external audit.

• Demonstrates strong ethics and integrity.

• Ability to see the "big picture" in a complex environment.

• Can make decisions under pressure and within tight timelines.

• Excellent verbal & written communication skills. Active listening skills.

• Excellent presentation skills – adept at presenting effectively to audiences of various sizes and various constituencies.

• Bachelor's/University degree.

• Language - Fluent in Japanese and English.

主な職務内容（期待される役割）

グローバルおよび地域の戦略に沿って、当社が手掛けるファイナンス案件の引受審査に関する以下を含む（ただしこれらに限定されない）すべての責任を実行します。

• 発行体の業績、利益計画、財政状態、内部管理体制、開示等の多岐にわたる審査。これには、初期の案件組成の議論から、引受審査レポートの作成、シニア承認フォーラムに至る、エンド・ツー・エンドのファイナンシング・プロセスが含まれます。

• 引受審査報告書の審査および承認。

• ファイナンシング案件実行におけるフロントオフィスとの連携。

• バンキングおよびリスク部門の主要クライアント、ならびに主要な規制当局、内部監査、および管理機能（コントロール・ファンクション）との関係構築の促進。

引受審査業務の経験

• 少なくとも5年以上の引受審査業務における経験。

• 引受審査（業績審査及び開示審査）の実務経験および知識。

• ファイナンスの種類に応じた引受審査プロセスに関する知見。

• バンキングおよびプロダクト組織と連携し、ファイナンシング案件に関連する課題について議論し、対処できる能力。

顧客関係／ビジネスパートナーシップ

• 本邦資本市場、法律、会計、規制や慣行のニュアンスを理解する実証された能力。

• 組織の複雑性を乗りこなし、セクショナリズム（サイロ化）を打破する能力。

• すべてのセグメント、地域、および他のリスク機能におけるビジネス部門との強力なパートナーシップ・ネットワークを構築し、維持する能力。

• 取引や顧客関係に関連するリスクとリターンのトレードオフについて、論理的でバランスの取れた評価を提供する能力。

• グローバルな同僚と連携し、ベストプラクティスの活用および導入を推進した実績。

求めるスキル・経験（望ましい要件）

• 証券会社における10年以上の引受審査または引受業務経験。

• 規制当局、および内部監査や内部管理機能、さらには外部監査と効果的に連携できる実証された能力。

• 高い倫理観と誠実さ。

• 複雑な環境において「大局（全体像）」を見極める能力。

• プレッシャーの下、かつ短い期限内で意思決定を下す能力。

• 優れた口頭および書面でのコミュニケーションスキル、およびアクティブリスニング（傾聴）スキル。

• 優れたプレゼンテーションスキル（さまざまな規模や構成の聴衆に対して効果的にプレゼンテーションを行う能力）。

• 学士号／大学卒業学位。

• 言語：日本語および英語が流暢であること。

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Job Family Group:

Controls Governance & Oversight

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Job Family:

Cross-disciplinary Controls

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Time Type:

Full time

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Most Relevant Skills

Analytical Thinking, Assessment, Business Acumen, Constructive Debate, Controls Lifecycle, Governance, Issue Management, Process Design, Risk Management Lifecycle, Stakeholder Management.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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