Compliance, Regulatory Affairs and Resources, Regional Country Compliance, Vice President, Tokyo

Compliance, Regulatory Affairs and Resources, Regional Country Compliance, Vice President, Tokyo

Responsibilities

The Regional Country Compliance (“RCC”) team in Tokyo Compliance is responsible for helping ensure that the firm manages and responds to regulatory inquiries, examinations and regulatory filings. 

As the liaison between the firm and its regulators on matters of regulatory compliance, RCC team members work closely with business, engineering, operations, risk, compliance and legal teams throughout the firm. 

The team is also responsible for designing, implementing, and maintaining firmwide compliance frameworks and governance programs that support Japan-specific regulatory requirements and supervisory expectations across Goldman Sachs Japan entities such as policy governance, employee training, personal information protection, inter-affiliate outsourcing oversight including outsourcing arrangements among Goldman Sachs entities, regulatory change management, and other firmwide compliance initiatives.

In the course of their work, a Vice President on the Tokyo RCC team will:

1. Policy Governance & Frameworks: Review, draft, and maintain local compliance policies; lead periodic policy reviews; and ensure alignment with evolving legal/regulatory requirements.
2. Regulatory Inquiries & Examinations: Interface directly with regulators; prepare comprehensive written responses; coordinate regulatory meetings and inspections; and manage trade inquiry technology applications; thereby to build and maintain strong relationships with regulators.
3. Stakeholder Engagement:  Advise internal stakeholders on regulatory expectations, findings, and control enhancements.
4. Data Privacy & Outsourcing Oversight: Oversee Personal Information Protection Law (PIPL) compliance (self-assessments, incident management, reporting) and review and assess inter-affiliate outsourcing arrangements and provide guidance on applicable compliance requirements;
5. Firmwide Compliance Programs: Coordinate and deliver firmwide compliance training programs, including material preparation and senior stakeholder engagement.
6. Project & Change Management: Lead cross-divisional projects, regulatory remediation initiatives, governance enhancements, and control framework reviews.
7. Regulatory Filing & Tracking: Handle regulatory filings including but not limited to licensing application or incident reporting, maintain detailed records of correspondence, monitor remediation undertakings, and prepare management/committee governance reporting.

Note: RCC attaches high importance to in-person collaboration; this is an in-office role based in the firm’s Tokyo office.

The Ideal Vice President Must Have the Ability To:

• Stakeholder Management: Leverage strong communication and relationship-building skills across business units, control functions, global/regional teams, and regulators.
• Analytical & Research Skills: Conduct expert research, analyze market/trading surveillance data, interpret rules, and draft clear, accurate regulatory responses and policies.
• Execution & Resilience: Manage multiple time-sensitive dockets, exams, and projects simultaneously under tight deadlines and competing priorities.
• Risk & Problem Identification: Identify control gaps, surface regulatory issues, recommend practical remediation steps, and escalate risks appropriately.
• Detail & Accuracy: Produce detail-oriented, high-quality work product while handling large volumes of data and documentation.

Basic Qualifications

• Bachelor’s degree;
• At least 5 years of relevant work experience in Compliance, Legal, Regulatory Affairs, Risk Management, or related control functions;
• Native-level fluency in Japanese and full professional fluency in English (oral and written);
• Proficiency with Microsoft Office (Word, Excel, PowerPoint);
• Strong project management, time management, and cross-functional communication skills;
• Familiarity with financial products/markets (equities, options, fixed income) and core regulatory and compliance risk management concepts.

Preferred Qualifications

• Graduate degree in law (JD/LLM), business (MBA), public policy, or a related field;
• Significant experience representing financial institutions in regulatory interactions, exams, and inquiries;
• Demonstrated experience in policy drafting, compliance training, PIPL management, or inter-affiliate outsourcing governance;
• Experience leveraging emerging technologies/AI to optimize compliance workflows and governance frameworks.

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