【モルガン・スタンレー】Institutional Equity Division Compliance Officer, Director - Legal & Compliance Division
仕事内容
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 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 Manager or Director, depending on experience, and is based in Tokyo.
Key Responsibilities
・ 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, Skills & Requirements
・ 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 (3-6 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.