【モルガン・スタンレーMUFG証券】Head of Japan Private Side Compliance, ED, Legal and Compliance
仕事内容
About the Firm
Morgan Stanley (NYSE: MS) is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in 42 countries, the firm’s employees serve clients worldwide including corporations, governments, institutions and individuals. For further information about Morgan Stanley, please visit www.morganstanley.com.
About the Role
The Head of Japan Private Side Compliance will be based in Tokyo and will report directly to the Head of Japan Non-Financial Risk (Managing Director), who is also Chief Compliance Officer for Morgan Stanley in Japan.
Key Responsibilities
The Head of Japan Private Side Compliance will be responsible for leading a team to provide effective oversight of the Private Side Compliance Program (including Control Group and Underwriting Due Diligence functions) in Japan by bringing a strategic focus to end-to-end process oversight, driving effective and efficient compliance with relevant regulations, policies and standards, underpinned by a strong governance framework.
The Head of Japan Private Side Compliance will also be responsible for leading the following key compliance functions for Private Side business areas and Research businesses in Japan, which includes Investment Banking Division, Global Capital Markets Division and Research Division:
・Advise and challenge the private side businesses and Research with respect to the Morgan Stanley Code of Conduct, relevant compliance policies and procedures and relevant laws, rules and regulations, related to their day to day businesses;
・Develop, implement, maintain and enforce a Compliance program, including policies and procedures, training, testing and monitoring, as required by or appropriate in light of the laws, regulations and policies governing their operations;
・ Liaise with business leads, risk managers, and global colleagues to ensure accurate identification of risks, determine appropriate risk mitigants and implement appropriate controls from a Compliance perspective;
・Monitor changes in laws and regulations applicable to the relevant business areas, and effectively communicate updates to various stakeholders;
・Handle regulatory audits and internal investigations/audits and address issues as appropriate, including timely escalation to senior management ;
・Participate in review and approval of new products raised from the relevant business areas
・ Support the Head of Japan Non-Financial Risk (NFR) in developing and driving NFR strategic initiatives.
応募資格(必須経験など)
Qualifications, Skills & Requirements
Skills required (essential)
・Minimum of 7-10 years of relevant experience in compliance, legal, audit or other control function covering institutional securities businesses, preferably at a large-complex financial institution.
・Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment.
・Ability to work as a team player with a variety of senior and junior colleagues and counterparties (local, regional and global, and within and outside of Compliance);
・Ability to develop, foster and maintain effective working relationships with diverse groups of people within the organization as well as with external stakeholders and vendors.
・Capacity to prioritize in a fast moving, constantly changing environment to handle multiple tasks simultaneously and work under fast-paced working environment;
・Bilingual fluency in Japanese and English, and excellent written and verbal communication skills;
・Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program;
・Strong interpersonal skill and experience in managing and leading teams to successful strategic outcomes.
Skills desired (preferred)
・Experience in compliance or legal functions with experience in M&A and/or capital markets transactions;
・Practiced law, including advising on capital markets and/or M&A transactions;
・Worked in a multinational organization and/or has experience working with overseas business partners and clients; and/or
・Experience in handling Japanese regulatory exams and inquiries