About the Firm

Morgan Stanley (NYSE: MS) is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in 42 countries, the firm’s employees serve clients worldwide including corporations, governments, institutions and individuals. For further information about Morgan Stanley, please visit www.morganstanley.com.

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.

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 Director (equivalent to Assistant Vice President) or Vice President, depending on experience, and based in Tokyo.

Key Responsibility

• The role holder will cover the general IED advisory Compliance, supporting and co-working with other members in Sales & Trading Compliance team
• Provide compliance guidance to equity businesses with respect to the relevant compliance policies and procedures and relevant Japanese 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 collaborate with front line risk management team
• Assist the Compliance review to approve 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

Qualifications, Skills & Requirements

• Full professional proficiency in Japanese and English (written and verbal) required
• JSDA Type-1 Registered Rep (1-shu Shoken Gaimuin) qualification and Internal Control Officer (Naibu Kanri Sekininsha) qualification.
• Work experience (5+ years) in the business unit or control function related to equity business or structured product business
• Knowledge of business and regulations around the structured products and OTC derivatives including equity products
• 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
• Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program;
• Ability to handle multiple tasks simultaneously and work under tight deadlines
• Strong work ethic

Why Morgan Stanley?

• A career with Morgan Stanley means being part of an inclusive culture that encourages diverse perspectives, innovation, and cross-collaboration to bring value to our clients. You'll find passionate people from all walks of life working together to make the world a little better every day.
• We invest in the growth and success of our people through mentorship and development programs, as well as abundant opportunities to connect with peers and senior leaders through employee-driven networks and volunteer activities.
• Your wellness and priorities outside of work are important to us. Our competitive compensation and benefits package is designed to support the diverse needs of our employees and take care of you and your family.
• Morgan Stanley is an equal opportunity employer. Our goal is to build and support a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. We are committed to support special needs or reasonable accommodations necessary to enable you to work comfortably and effectively.

- Discover our Japan Offerings: https://www.morganstanley.co.jp/ja/people/working-at-morgan-stanley

- Discover our Global Offerings: https://www.morganstanley.com/people/experienced-professionals

Our Commitment to Japan

Everything we do at Morgan Stanley is guided by our five core values: do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back. Since opening a representative office in Tokyo in 1970, we have been one of the largest and most active foreign financial firms in Japan providing investment banking, sales & trading, real estate, and investment management services.

Our People (English): https://www.morganstanley.com/articles/who-we-are

Our People (Japanese): https://www.morganstanley.co.jp/ja/people