Asia Compliance Testing, Director to Vice President

  • Competitive
  • Tokyo, Tokyo-to, Japan Tokyo Tokyo-to JP
  • Permanent, Full time
  • Morgan Stanley
  • 15 Jul 18 2018-07-15

See job description for details

Company Profile
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 1,200 offices in 43 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.

Department Profile
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.

Background on the Team
The Asia Compliance testing group is responsible for developing and executing a risk-based test plan with focus on compliance with regulations and key Firm policies. The team have Compliance Testing responsibility over Sales & Trading businesses (equities, fixed income, commodities), Investment Banking/Global Capital Markets, Research, Private Wealth Management and Investment Management.

Background on the Position
Asia Compliance seeks a candidate for a Professional position in the Asia Compliance Testing Team. The individual will be involved in testing for all business lines, including Sales and Trading, Investment Banking/Global Capital Markets and Investment Management. The role is at Manager or Director Level and is based in Asia.

Primary Responsibilities
-Analysis of regulations and internal rules and policies for each review topic
-Identification of key controls for each review topic
-Creation of test strategies to verify design effectives and operating effectiveness for controls to confirm compliance with applicable rules and policies
-Executing reviews including:
-Interviews with business employees responsible for a particular area and review of working materials
-Analysis of transaction and deal documentation to assess compliance with applicable rules and policies
-Detailed documentation of review work-papers
-Identification of areas requiring attention and assessment of relative risk
-Preparing review reports
-Presentation of findings and recommendations to Compliance and business area managers
-Following-up on review findings until resolution
-Coordinating with global testing counterparts


Skills required (essential)
Required Education & Experience
-Bachelor’s degree or above, preferably in accounting, business, law, or a related field of study
-Have a minimum of 5-8 years’ experience in Compliance coverage, Compliance testing, Law/Litigation, or internal/external audit or Relevant experience at a financial services regulator

Required Knowledge, Skills and Abilities
-A broad understanding of regulatory handbooks in Japan or other countries in Asia
-Have extensive knowledge of testing/audit best practices and techniques
-Possess a strong understanding of financial markets and banking with relevant past experience in the industry
-Have strong written and verbal communications skills, attention to detail and effective time management skills
-Possesses a strong work ethic and the ability to remain objective at all times
-Have excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units

Skills Desired
-CA/CPA/CIA or other relevant certification strongly preferred