【モルガン・スタンレー】Core Compliance, Legal & Compliance division - Director
仕事内容
https://morganstanley.eightfold.ai/careers/job/549794234639?domain=morganstanley.com&hl=en
Executing and facilitating the following Core Compliance functions and other Compliance-related projects and initiatives.
• Regulatory Filings - Responsible for preparing and submitting periodic and adhoc regulatory filings to regulators, self-regulatory organizations etc.
• Regulatory Notices - Responsible for daily distribution of regulatory changes and notices to relevant stakeholders.
• Other Core Compliance related assignments – Assist other team members in areas such as policies/trainings, employee registrations, employee trading/outside business activities compliance, complaints handling, as necessary, to enhance team’s cross coverage and efficiency.
応募資格(必須経験など)
Qualifications - External
Skills required (essential)
• Ability to read and understanding laws, regulations and guidance in relation to securities business.
• Excellent communication skills in English and Japan, both written and oral.
• Organized and detailed oriented with the ability to perform multiple tasks simultaneously.
• Analytical skills and attention to detail.
• Effectively prioritize responsibilities and produce results.
• Ability to work independently as well as be an excellent team player.
• Project management skills, including negotiations with various stakeholders together to achieve a common goal.
• Eagerness to involve in new projects and initiatives as well as challenge existing processes for possible improvement.
• Proactivity, enthusiasm and aspiration to learn and develop.
• 5-7 years in financial services
Skills desired
• Relevant experience in compliance, risk management or regulatory related functions.
• Comprehensive understanding of the regulatory requirements and regulatory expectations. Experience in regulatory examinations is a plus.