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Core Compliance, Vice President
Morgan Stanley
Tokyo, , Japan
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Core Compliance, Vice President (TKY)
Description
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
• Assist the Head of Core Compliance in executing and facilitating the following Core Compliance functions.
• Regulatory Change Management – responsible for managing regulatory change which is a critical role of Compliance and requires ongoing coordination, communication and partnership among Legal, impacted business units, and Control functions. Responsibilities will also include working to design robust compliance framework to manage regulatory changes as well as its ongoing enhancement.
• Compliance Training and Education – responsible for the development and coordination of a compliance training program. Provide the opportunity to shape the governance arrangements for local and global trainings by identifying and delivering on training needs. Work closely with the Compliance professions and assist creating effective training contents as well as meeting the training plan.
• Employee trading and Investments – responsible for monitoring and ensuring the compliance program is standing. Review and approve employees outside business activities and advise accordingly.
• Policies and Procedures – responsible for development of internal rules, policies and compliance notices, including maintenance of those documents. Timely follow-up with
• Licensing and Registrations – responsible for ensuring the employees in the relevant business units are properly licensed and registered with the applicable authorities to perform financial activities and support maintaining their licenses.
Qualifications
Skills required (essential)
• Relevant experience in compliance, risk management or regulatory related functions.
• Knowledge of applicable regulatory principles and rules.
• Ability to work independently as well as be an excellent team player.
• Excellent communication skills, both written and oral. Bilingual fluency.
• Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results
• Analytical skills and attention to detail
• Ability to perform multiple tasks simultaneously.
• Proactivity, enthusiasm and aspiration to learn and develop.
• 5-7 years in financial services
Skills desired
• Comprehensive understanding of the regulatory requirements and regulatory expectations.
• Experiences in regulatory on-site inspection is plus.
• Solid knowledge in at least one relevant area (e.g. regulatory change management, employee trading compliance, licensing and registrations in securities industry, policies and procedures maintenance/drafting or creation of compliance training contents.)