Global Financial Crimes – Japan

  • Competitive
  • Tokyo, Tokyo-to, Japan Tokyo Tokyo-to JP
  • Permanent, Full time
  • Morgan Stanley
  • 23 Mar 18 2018-03-23

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.

In Legal and Compliance Division, Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm’s enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm’s Anti-Money Laundering (AML), Economic Sanctions, Anti-Corruption and Anti-Tax Evasion policies. GFC also develops and/or assists in the development of appropriate policies and procedures, including those designed to assist the business units to know their clients and conduct appropriate due diligence and to prevent, detect and report potentially suspicious activity. GFC has dedicated coverage staff who advise and counsel each business unit regarding its AML, economic sanctions, anti-corruption and anti-tax evasion obligations and its particular clients and transactions.

Primary Responsibilities

Ÿ Provide advice in relation to regulatory and internal requirements on:

- Anti-Money Laundering (AML) / Counter Terrorist Financing (CTF)

- Anti-bribery and corruption

- Sanctions and Embargoes

Ÿ Monitor and control adherence to policies and regulatory rules via ongoing controls

Ÿ Assess the output of Financial Crimes -related alerts from screening, transaction monitoring and negative news tools

Ÿ Conduct Financial Crimes related trainings

Ÿ Monitor regulatory developments and support implementation of new rules or requirements

Ÿ Provide support in revision and update of Financial Crimes related policies and procedures

Ÿ Support internal and external audits as well as regulatory examinations


Skills required (essential)

Ÿ Bachelor’s degree

Ÿ 3-5 years minimum of experience in compliance, legal, audit or other control function in the financial services industry ; AML compliance experience and knowledge of local AML rules and regulations is a plus.

Ÿ Inquisitive and proactive in identifying risks and proposing solutions;

Ÿ Excellent interpersonal and relationship management skills and ability to work effectively with colleagues across the Legal and Compliance Division (in Japan and in other regions), other Infrastructure , Risk Management and Control Functions (e.g. Operations).

Ÿ Strong written and verbal communications skills in both Japanese and English

Ÿ Ability to research and resolve issues independently while working across teams to acquire information

Ÿ Strong analytical mindset, critical reasoning skills and attention to detail

Ÿ Ability to effectively operate in a fast paced environment and successfully meet agreed deadlines