【モルガン・スタンレー】Private Side Compliance Officer, VP - Legal & Compliance Division
仕事内容
About the Firm
Morgan Stanley is a leading global financial services Firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 747 offices in 42 countries. 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 Division
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
応募資格(必須経験など)
Key Responsibilities
Provide compliance guidance to private side businesses (such as the Global Capital Markets and Investment Banking Divisions) and the Research Division with respect to relevant compliance policies and procedures and relevant laws, rules and regulations, which are mainly related to their day to day businesses.
Articulate and maintain the code of conduct required by the laws, regulations and policies governing these business operations.
Monitor changes in laws and regulations (such as relaxation of Japanese firewall regulations and amendments to IPO pricing rules) affecting the businesses, effectively communicate updates to affected business areas, coordinate with Regulatory Relations in approaching the regulator for clarification and/or relief from regulations materially impacting the business; and take initiative in developing and implementing a compliance program designed to ensure compliance with such laws and regulations;
Implement and enforce appropriate policies through training, testing, monitoring and advisory coverage of the business;
Liaise with Compliance counterparts at Mitsubishi UFJ Morgan Stanley Securities on implementation of new or amended policies, training of Investment Banking professionals, and handling of Compliance incidents;
Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary;
Assess potential risks associated with the coverage area and address to enhance internal control functions as well as assist front line risk management framework;
Participate in review and approval of new products for issuer and advisory clients
Support the Head of Private Side Compliance in leading and mentoring junior members of the team
Qualifications, Skills & Requirements
Minimum of 5-7 years compliance, legal, audit or other control function experience covering institutional securities businesses, with experience in M&A and/or capital markets transaction;
Strong analytical skills with the ability to identify issues and risks and proposing solutions;
Creative problem solving skills that demonstrate an awareness of relevant rules and practical application rather than a devotion to the technical interpretation of such rules;
Ability to work as a team player with a variety of senior and junior people (local, regional and global, and within Compliance and the business units), including taking ownership, delegating or escalating as necessary, and build smooth working relationships;
Ability to prioritize in a fast moving, constantly changing environment, to handle multiple tasks simultaneously and work under tight deadlines; and
Excellent communication skills, both written and oral. Bilingual fluency (Japanese and English).
Skills desired (preferred)
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;
Interacted with Japanese regulatory agencies on a regular basis; and/or
Lead a team and/or actively mentored colleagues