Control Group Manager

  • Competitive
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Morgan Stanley
  • 21 Nov 17 2017-11-21

See job description for details

Compliance professionals in the Control Group perform the following duties in a highly sensitive area of Morgan Stanley:

• Monitor the Firm’s information barriers and track information flow

• Review research for compliance with applicable regulatory requirements and internal policies

• Manage any necessary regulatory body reporting and inquiries

• Track engagements of the investment banking division

• Chaperone communications between investment banking and research personnel

• Implement and provide advice with respect to the Firm’s information barrier policies, including trading restrictions, clearance of employee trading requests, research publication and Wall (“China Wall”) crossings


• The ideal candidate will have worked in a compliance or similar function within a Financial Institution

• Excellent communication skills, both written and oral in both English and Japanese language skills required

• Ability to manage multiple tasks simultaneously

• Ability to spot issues and analyze complex problems quickly and thoroughly

• Heightened sense of discretion

• Fine attention to detail

• Familiarity with, or ability to learn to utilize, diverse Firm systems

• Comfort interfacing with firm personnel at all levels on a range of issues, including sensitive and conflict matters

• Proactivity, enthusiasm and aspiration to learn and develop.

• Ability to work independently as well as be an excellent team player.

(skills desired)

• Minimum 3-5 years work experience in a related compliance control room function and/or 5 years compliance experience preferred but not required

• Experience in Investment Banking is preferred but not required