【モルガン・スタンレー】Research Risk Management, VP, Research
仕事内容
About the Firm
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.
Through timely, in-depth analysis of companies, industries, markets, and world economies, Morgan Stanley has earned its reputation as a leader in the field of investment research. Morgan Stanley Investment Research is one of the financial industry's dominant thought leaders in equity and fixed income investing. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethics. Morgan Stanley can provide a superior foundation for building a professional career – a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
About the Division
Morgan Stanley Investment Research is uniquely committed to being an essential part of our clients' investment process. We strive to be the sell-side research provider that best understands the buy side. Through relevant and timely conversations with leading investors, we focus resources on risk-reward essentials: identifying the investor debates, assessing the potential outcomes, and uncovering the evidence our clients need to validate their investment decisions. Our equity analysts cover some 3,000 stocks; our economists, strategists and fixed income analysts cover all major regions and other asset classes around the globe.
About the Role
This role is a Vice President position based in Tokyo, within the Global Research Risk Management team. This team is part of the Global Research First Line Risk Management organization. The role will help Morgan Stanley Research deliver on its global mission by strengthening governance structures, increasing efficiencies, and enhancing operational, conduct and reputational risk frameworks in a globally consistent manner. This team supports the execution of day-to-day risk functions and works with global colleagues to manage the successful resolution of issues amid increasing regulatory and industry scrutiny on risk management.
Key Responsibilities
・ Supervising day to day risk controls related to the franchise, regulatory and operations of the research business unit
・ Monitoring existing control frameworks and improving or creating new control frameworks if none exist
・ Maintain the Risk team’s established policies and procedures, investigating and escalating exceptions to policies, and assisting with their resolution and incident reporting
・ Support in the ongoing development of a thematic incident risk assessment program
・ Leading projects related to the supervisory platform and the information security program
・ Assisting with audits and compliance assessments related to the coverage area
・ Work with global colleagues to manage the successful resolution of complex risk incidents and escalations, including root causes analysis of the issue, establishing the right escalation path and governance
・ Implementation of department ideas and initiatives through operational analysis, change management, and documentation with a focus on continuous improvement and global standardization
・ Building strong working relationships with the global members from associated control functions, such as Legal, Compliance, Technology and Publishing
・ Other Ad-hoc duties as required
応募資格(必須経験など)
Qualifications, Skills & Requirements
・ Fluency in Japanese and English
・ Bachelor’s degree in Finance, Business, or related field
・ Industry experience in a Legal, Compliance, or Risk Management role required
・ Highly motivated self-starter with a collaborative attitude, team spirit, and sensitivity to detail and accuracy
・ Effective summary level written and verbal communication experience with a high level of intellectual curiosity
・ Ability to work in a fast-paced environment, both independently and as part of a team while balancing various initiatives and deadlines
・ Proven track record for facilitating communication within and across functional groups
・ Comfortable working in a large organization and interfacing with a broad set of stakeholders across various functions globally
・ Strong problem solving/critical thinking skills with an appetite for technology and automation
・ Experience with Microsoft platforms, Zoom, Teams
・ Strong sense of ownership and accountability for commercial output, the control environment, and people development
・ Project management capabilities with a familiarity in Agile principles a plus, but not required
・ Familiarity with securities markets, investment research, and industry rules or regulations would be beneficial