【モルガン・スタンレー】Control Group - Research & Investment Banking Coverage, Director - Legal & Compliance Division
仕事内容
About the Firm
Morgan Stanley (NYSE: MS) is a leading global financial services firm providing investment banking, securities, wealth management and investment management services. With offices in more than 41 countries, the Firm's employees serve clients worldwide including corporations, governments, institutions and individuals.
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 ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Key Responsibilities
Day-to-day responsibilities of the members of the Control Group Research and Investment Banking Coverage include, but are not limited to:
・ Ongoing Watch and Restricted List maintenance, including necessary interactions with private side deal team members or other relevant LCD or business unit contacts.
・ Documentation and relevant notifications under the Firm's Wall Crossing policies and procedures.
・ Review of Fixed Income and Equity Research against the Firm's Watch and Restricted List for compliance with relevant securities laws and with internal policies, such as the Firm's M&A Research Policy.
・ Chaperoning and gatekeeping of permissible communications between Research and the Private Side under the Global Research Settlement and relevant internal policies and procedures.
・ Employee trade pre-clearances for business units or individuals subject to trade pre-clearance with the Control Group due to their private side, Above-the-Wall or Over-the-Wall status.
応募資格(必須経験など)
Qualifications, Skills & Requirements
・ 3 - 5 years relevant experience required
・ Strong attention to detail required
・ Proven experience reviewing trade information and analyzing data in relation to information sharing, front running, and wall crossing
・ Strong communication skills required
・ Bachelor's degree required
・ Fluent in Japanese and English