【モルガン・スタンレー】Institutional Equity Division Compliance Officer, VP - Legal & Compliance Division
仕事内容
DESCRIPTION
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.
About the Division
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm’s invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm’s businesses.
About the Role
We are seeking a suitably qualified candidate to join the team to perform the advisory, policy making and training role for the equity business in Japan. The role will be Vice President or Executive Director, depending on experience, and is based in Tokyo.
Key Responsibilities
§ The role of this position will cover the general IED advisory Compliance, supporting and co-working with other IED Compliance members
§ Provide compliance guidance to equity businesses with respect to the relevant compliance policies and procedures and relevant Japan laws, rules and regulations, which are mainly related to their day to day businesses
§ Escalate significant or unresolved issues to the Compliance managers and the business units when necessary
§ Conduct regular compliance training for business unit professionals
§ Help handling the regulatory and internal investigations/audits
§ Assess potential risks associated with the coverage area and address to enhance internal control functions as well as assist front line risk management framework
§ Assist the Compliance review to approve New Instruments and New Products
§ Keep abreast of new regulations and communicate such updates to affected business areas to ensure that the firm has appropriate controls in place
応募資格(必須経験など)
QUALIFICATIONS
Qualifications, Skills & Requirements
Prerequisite
Fluent proficiency in Japanese and English (written and verbal) required
JSDA Type-1 Registered Rep (1-shu Shoken Gaimuin) qualification. Internal Control Officer (Naibu Kanri Sekininsha) qualification is desirable.
Desired Experience, Knowledge and Skills
Work experience (8-15 years) in the business unit or control function related to equity business
Good team player with the ability to build smooth working relationships
Good interpersonal skills and ability to work effectively with colleagues and business units
Strong analytical skills and detail-oriented approach with the ability to detect and escalate issues
Ability to handle multiple tasks simultaneously and work under tight deadlines
Strong work ethic