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TK Ops, Operations Risk & Control - Disclosure of Interest, Vice President
Morgan Stanley
Tokyo, , Japan
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Description
The Regulatory Operations team operates within the Operations Risk and Regulatory Control of the Firmwide Operations. The team is responsible for Disclosure of Interest (DOI), Customer Asset Segregation (CAS), Transaction Reporting to the regulators and legal ledgers. The team works closely with ISG Product Ops, SSBO, Legal and Compliance, Finance, and Technology & Data to help the firm’s Institutional Security Business to comply with Financial Instrument and Exchange Law (FIEL) and other regulatory requirements.
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 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 candidate will be also 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.
DOI is the priority. After several months, the candidate is expected to expand the coverage to overseeing CAS and external audit.
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:
• Excellent verbal and written communication abilities in English and Japanese
• Self-motivated with positive working attitude
• Work and contribute as a team
• Good communication skills, able to interact and communicate effectively across cultural and hierarchical lines within the Firm
• Ability to identify problems as they arise and understand when they need to be escalated
• Adaptable and flexible to changes and new challenges
• Keen to learn new skill sets and does so quickly
• Proficiency in Microsoft Office (Excel, Word, and PowerPoint)
Skills Desired:
• Knowledge of Japan regulatory reporting (FIEL) including Disclosure of Interest
• Product knowledge and middle office experience
• Technology related project experience