モルガン・スタンレー：Senior Private Side Compliance Officer, Executive Director - Legal & Compliance
仕事内容
https://morganstanley.eightfold.ai/careers/job/549795311687?domain=morganstanley.com&hl=en
Senior Private Side Compliance officer will be based in Tokyo and will report directly to the Head of Japan Private Side Compliance.
Key Responsibilities
The senior Private Side Compliance officer will be responsible for supporting the Head of Japan Private Side Compliance in leading a team to provide effective oversight of the Private Side Compliance Program 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 senior Private Side Compliance officer will also be responsible for executing 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;
応募資格(必須経験など)
Participate in review and approval of new products raised from the relevant business areas. Skills required (essential)
Minimum of 7-10 years of relevant experience in compliance, legal, audit or other control function covering institutional securities businesses, with experience in capital markets transactions, 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; and
Strong interpersonal skill and experience in working with teams on discrete projects of varying complexity.
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.