TK IBD/GCM Advisory Compliance

  • Competitive
  • Tokyo, Tokyo-to, Japan Tokyo Tokyo-to JP
  • Permanent, Full time
  • Morgan Stanley
  • 21 Apr 18 2018-04-21

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.

Primary Responsibilities

· P rovide 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 MNPI and Fair Disclosure rules) affecting the businesses, 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;

· 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
Keep abreast of new regulations and effectively communicate updates to affected business areas to ensure that the firm has appropriate controls in place


Skills required (essential)

· Minimum of 3-5 years compliance, legal, audit or other control function experience covering institutional securities b usinesses, with experience in M&A and/or capital markets transaction;

· Inquisitive and proactive in identifying 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) , and build smooth working relationships;

· A bl ility to prioritize in a fast moving, constantly changing environment, to handle multiple tasks simultaneously and work under tight deadlines;

· Strong analytical skills with the ability to identify and address issues;

· 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