【モルガン・スタンレーMUFG証券】Compliance Professional (Legal and Compliance)
仕事内容
Background on the team
The Global Regulatory Relations Group is responsible for coordinating the management of the supervisory activities of the Firm's regulators across all regions and business units, with a focus on responding to regulatory reviews and examinations and continuous monitoring activities, and serves as the central point of contact for the Firm's key regulators. Morgan Stanley maintains open, cooperative and constructive relationships with its regulators, including through direct communications by senior management and other Firm personnel with key regulators, and through the activities of GRRG.
Primary responsibilities
Lead the Firm's onsite exam and offsite inquiry processes:
- Onsite exams by regulators take place from time to time. Whenever we have an exam or an inquiry, coordinate with the Head of Japan RRG and other stakeholders within Legal and Compliance division as well as other divisions, to make sure we prepare necessary documents and data in a timely manner, and give guidance to coordinate meetings with regulators. Timely and effective information sharing both within Japan and global counterpart is essential in this role.
Lead updating various internal management information:
- There are various internal reporting documents shared within the Tokyo office as well as globally for management information. This role is expected to take the lead on drafting and reviewing the reporting documents together with Japan RRG team members and with counterparts in NY and other locations as appropriate.
Others:
- Japan RRG is in close coordination with other functions within Legal and Compliance division, and the team has been taking the lead on some Compliance works, such as organizing the MSMS Compliance and Operational Risk Committee, affiliate monitoring with our JV partner in Japan, drafting and monitoring of Annual Compliance Planning, etc. Proactive coordination with various counterparts are essential.
応募資格(必須経験など)
QUALIFICATIONS
- Bachelor's degree required.
- Deep understanding in Japanese legal and regulatory background and business culture required.
- Minimum 5 years of regulatory relations, compliance or equivalent experience preferred. Otherwise same level of experience in the industry is desirable.
- Excellent written and oral communication skills both in English and Japanese with ability to effectively communicate with regulators, business professionals, risk managers and supervisors.
- Strong analytical skills, well organized and able to juggle multiple projects and assignments
- Focus on details
- Team player who has positive impact to others at all levels