【モルガン・スタンレー】Asia Compliance Testing
仕事内容
We are seeking a suitably qualified candidate to join the team to focus on performing reviews and monitoring checks covering supervision and oversight primarily for Japan. The role will be at Manager or Director level, depending on experience, and is based in Tokyo.
Analysis of relevant regulations, internal rules and policies
Identification of key risks and controls
Creation of strategies to test the design and operating effectiveness of controls to confirm compliance with applicable regulations, internal rules and policies
Execution of reviews including:
Conducting interviews with relevant business unit employees responsible for a particular area and review of working materials
Analysis of transaction information and trading data to assess compliance with applicable rules and policies
Performing reviews of relevant communications
Documentation of workpapers
Identification of areas requiring attention and assessment of relative risk
Preparation of reports for reviews and monitoring checks
Presentation and discussion of findings/action plans and recommendations for enhancement with business unit and Compliance stakeholders
Following-up on review findings until resolution
Co-ordinating with global Testing counterparts
Preparing responses to regulatory inquiries related to Compliance Testing
応募資格(必須経験など)
Prerequisite
Fluent proficiency in Japanese and English (written and verbal) required
Education & Experience
Bachelor's degree or above, preferably in accounting, business or law
Between 4-8 years of relevant experience
Prior experience in compliance, risk management or internal control functions experience such as Compliance Testing, or internal / external assurance would be a strong plus
Knowledge, Skills And Abilities
Exposure to and understanding of regulations in Japan
Knowledge and experience of testing / audit best practices and techniques
Understanding of capital markets, sales and trading, and banking activities and processes
Broad knowledge of financial products
Attention to detail and effective time management skills
Strong work ethic and the ability to remain objective at all times
Good interpersonal skills and ability to work independently and effectively with colleagues across regions and business units
Additional Skills Desired
CA / CPA preferred, or CIA