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TK Ops, Operations Risk & Control - Disclosure of Interest, Associate to Director
Morgan Stanley
Tokyo, , Japan
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Description
The Operations Risk & Regulatory Control is a global team responsible for Control (Balance Sheet Control, Credit & Market Risk, Policies & Procedures), Regulatory Reporting (Disclosure of Interest, Client Money, Transaction Reporting), Risk (Client Confidentiality, Operational Risk, BCP) and CTB Projects. The Division has over 300 team members across the Firm, with the majority residing in New York, Glasgow, Mumbai, Hong Kong, Tokyo as well as with Vendors in Chennai.
We currently have an opportunity within the ORC Disclosures of Interest (DOI) team in Tokyo Japan, a team that is focused on fulfilling regulatory requirements mainly for Substantial Shareholder and Short Sale position monitoring and disclosure. This role is a business critical control role required to provide coverage across all DOI functions and regulatory reporting obligations, as well as to reduce the risk of regulatory breeches across the full suite of DOI functions.
The candidate should expect to build an intricate knowledge of Japan rules and regulations pertinent to the team, firm systems, data sources, as well as the processes that are in place to ensure compliance with regulations. The candidate will be expected to organize the workload of the team and to be able to contribute to checking all workings and disclosures performed by the team are accurate.
The candidate will be expected to analyze and improve processes, identify and manage risk and guide junior members of the team. As such communication and organizational skills as well as attention to detail and a readiness to escalate issues with a sense of urgency are of importance.
The individual will have diverse responsibilities, including but not limited to:
1. Learning and performing functions in order to be able to manage and perform checking of workings/disclosure processes performed by team members to ensure the highest standards of accuracy are reached.
2. Building a detailed understanding of each process, ensuring accurate filings to made to the regulators.
3. Acquiring an intricate knowledge of firm booking models, systems, data sources and processes, building the ability to understand the wider environment and question data integrity.
4. Identification and implementation of process improvements.
5. Identification, mitigation, escalation and reporting of potential/current risks.
6. Providing support to other members of the team and partner with the global DOI Ops , Compliance and Technology for various RTB/CTB deliveries.
7. Close communication with stakeholders including our dedicated compliance team and the business unit.
8. Contributing to ongoing change projects affecting the team.
9. Ensure adhere to firmwide and operations policies and procedures.
Qualifications
Skills Required:
The ideal candidate should have:
• Excellent verbal and written communication abilities in Japanese and English
• Superb attention to detail, accuracy & quality
• Proven management experience. Skills in delegation, organization and people management to ensure the team works effectively and efficiently
• Strong time management and task prioritization skills. Willing to work additional hours to ensure all deliverables are performed within required timescales
• Strong sense of urgency, accountability and ownership
• Focus on guardianship, ensuring that issues are identified, escalated, resolved and reported on a timely basis
• A positive outlook, energy and enthusiasm. Is a self-starter who takes individual ownership for work quality and improvement. Leads by examples working with drive and determination
• Ability to work well under pressure, lending control and order to a difficult or pressurized situation
• Ability to absorb information and learns quickly
• Innovation and creative skills challenges the existing processes and status quo
• Excellent inter-personal skills
Skills Desired:
• Diversified financial services product knowledge particularly in Equity and Equity derivatives products
• Proficient in Microsoft Office
• Advanced knowledge of Morgan Stanley trade flows and operational models
• Advanced level of regulatory understanding