IED Compliance - Vice President

  • 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.

Primary Responsibilities

  • P rovide compliance guidance to institutional equity businesses with respect to the relevant compliance policies and procedures and relevant laws, rules and regulations , which are mainly related to their day to day 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 (such as HFT rules) affecting the businesses, and taking initiatives to develop and implementing , a compliance program to ensure compliance thereof ;
  • 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)

  • Proven Compliance, legal, audit or other control function experience covering Institutional Equity b usinesses, with experience in electronic trading, derivatives and structured products;
  • Inquisitive and proactive in identifying risks and proposing solutions;
  • Attitude to work with a passion and flexible mind-set to tackle challenging issues and to come up with a creative solution rather than sticking to the technical interpretation of the rules;
  • Ability to work as a good team player with a variety of senior and junior people (local, regional and global) , and build smooth working relationships;
  • A bi lity to prioritize in a fast moving, constantly changing environment and to handle multiple tasks simultaneously and work under tight deadlines;
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment;
  • Excellent communication skills, both written and oral . Bilingual fluency (Japanese and English).
  • Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce result s