FID Compliance - Vice President
- Tokyo, Tokyo-to, Japan Tokyo Tokyo-to JP
- Permanent, Full time
- Morgan Stanley
- 23 Mar 18 2018-03-23
See job description for details
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.
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.
- Provide compliance guidance to fixed income businesses with respect to the relevant compliance policies and procedures and relevant Japan laws, rules and regulations, which are mainly related to their day to day businesses, including sales and trading, and lending 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 affecting the businesses, and implementing a compliance program to ensure compliance.
- Implementing appropriate policies, training, testing and monitoring and advisory coverage for the business.
- Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary.
- Conduct regular compliance training for business unit professionals and supervisors.
- 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 Instruments and New Products for individual investment teams
- Keep abreast of new regulations and communicate such updates to affected business areas to ensure that the firm has appropriate controls in place
Skills required (essential)
- Minimum of 7 years compliance, legal, audit or other control function experience covering FID businesses, with experience in derivatives and structured products;
- Inquisitive and proactive in identifying risks and proposing solutions;
- Good interpersonal skills and excellent written communication skills;
- Ability to work with a variety of senior and junior people, and build smooth working relationships;
- Good team player - one who is able to prioritize in a fast moving, constantly changing environment;
- Entrepreneurial inclination - ability to work alone and act as project manager;
- Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment;
- Ability to handle multiple tasks simultaneously and work under tight deadlines.
- Excellent communication skills, both written and oral. Bilingual fluency.
- Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results
- Work experience in global regulatory reform such as CFTC rules and MiFID e tc.,