Senior Private Side Compliance Officer, Executive Director - Legal & Compli at Morgan Stanley

Tokyo, , Japan -

Full Time

Start Date

Immediate

Expiry Date

07 Apr, 26

Salary

0.0

Posted On

07 Jan, 26

Experience

10 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Legal, Audit, Analytical Skills, Problem-Solving, Team Player, Interpersonal Skills, Bilingual Fluency, Communication Skills, Self-Starter, Risk Management, Governance Framework, Training, Monitoring, Regulatory Audits, Capital Markets

Industry

Financial Services

Description

About the Role Senior Private Side Compliance officer will be based in Tokyo and will report directly to the Head of Japan Private Side Compliance. Key Responsibilities The senior Private Side Compliance officer will be responsible for supporting the Head of Japan Private Side Compliance in leading a team to provide effective oversight of the Private Side Compliance Program by bringing a strategic focus to end-to-end process oversight, driving effective and efficient compliance with relevant regulations, policies and standards, underpinned by a strong governance framework. The senior Private Side Compliance officer will also be responsible for executing the following key compliance functions for Private Side business areas and Research businesses in Japan, which includes Investment Banking Division, Global Capital Markets Division and Research Division: Advise and challenge the private side businesses and Research with respect to the Morgan Stanley Code of Conduct, relevant compliance policies and procedures and relevant laws, rules and regulations, related to their day to day businesses; Develop, implement, maintain and enforce a Compliance program, including policies and procedures, training, testing and monitoring, as required by or appropriate in light of the laws, regulations and policies governing their operations; Liaise with business leads, risk managers, and global colleagues to ensure accurate identification of risks, determine appropriate risk mitigants and implement appropriate controls from a Compliance perspective; Monitor changes in laws and regulations applicable to the relevant business areas, and effectively communicate updates to various stakeholders; Handle regulatory audits and internal investigations/audits and address issues as appropriate, including timely escalation to senior management; Participate in review and approval of new products raised from the relevant business areas. Skills required (essential) Minimum of 7-10 years of relevant experience in compliance, legal, audit or other control function covering institutional securities businesses, with experience in capital markets transactions, preferably at a large-complex financial institution. Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment. Ability to work as a team player with a variety of senior and junior colleagues and counterparties (local, regional and global, and within and outside of Compliance); Ability to develop, foster and maintain effective working relationships with diverse groups of people within the organization as well as with external stakeholders and vendors. Capacity to prioritize in a fast moving, constantly changing environment to handle multiple tasks simultaneously and work under fast-paced working environment; Bilingual fluency in Japanese and English, and excellent written and verbal communication skills; Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program; and Strong interpersonal skill and experience in working with teams on discrete projects of varying complexity. Skills desired (preferred) Experience in compliance or legal functions with experience in M&A and/or capital markets transactions; 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; and/or Experience in handling Japanese regulatory exams and inquiries. WHAT YOU CAN EXPECT FROM MORGAN STANLEY: At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. 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. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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. Morgan Stanley is an equal opportunities employer. 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 Senior Private Side Compliance Officer will support the Head of Japan Private Side Compliance in overseeing the Private Side Compliance Program and ensuring compliance with relevant regulations. Key functions include advising private side businesses, developing compliance programs, and handling regulatory audits.