Core Compliance, Legal & Compliance division - Director at Morgan Stanley

Suginami, Tokyo, Japan -

Full Time

Start Date

Immediate

Expiry Date

15 Jan, 26

Salary

0.0

Posted On

17 Oct, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Core Compliance, Regulatory Filings, Project Management, Communication Skills, Team Player, Proactivity, Negotiation Skills, Detail Oriented, Risk Management, Regulatory Requirements, Employee Training, Policy Development, Complaint Handling, Securities Business, Employee Registrations, Outside Business Activities

Industry

Financial Services

Description

Executing and facilitating the following Core Compliance functions and other Compliance-related projects and initiatives. Regulatory Filings - Responsible for preparing and submitting periodic and adhoc regulatory filings to regulators, self-regulatory organizations etc. Regulatory Notices - Responsible for daily distribution of regulatory changes and notices to relevant stakeholders. Other Core Compliance related assignments - Assist other team members in areas such as policies/trainings, employee registrations, employee trading/outside business activities compliance, complaints handling, as necessary, to enhance team's cross coverage and efficiency. Ability to work independently as well as be an excellent team player. Project management skills, including negotiations with various stakeholders together to achieve a common goal. Eagerness to involve in new projects and initiatives as well as challenge existing processes for possible improvement. Proactivity, enthusiasm and aspiration to learn and develop. 5-7 years in financial services Ability to read and understanding laws, regulations and guidance in relation to securities business. Excellent communication skills in English and Japan, both written and oral. Organized and detailed oriented with the ability to perform multiple tasks simultaneously. Relevant experience in compliance, risk management or regulatory related functions. Comprehensive understanding of the regulatory requirements and regulatory expectations. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.

Responsibilities

The Director will execute and facilitate Core Compliance functions and manage compliance-related projects. Responsibilities include preparing regulatory filings, distributing regulatory notices, and assisting team members in various compliance areas.