Equity Compliance - IED Compliance

Overview of Role
We are seeking a suitably qualified candidate to join the team to perform the advisory, policy making and training role for the equity business in Japan. The role will be Director (equivalent to Assistant Vice President) or Vice President, depending on experience, and based in Tokyo.

Primary Responsibilities
- The role holder will cover the general IED advisory Compliance, supporting and co-working with other members in Sales & Trading Compliance team
- Provide compliance guidance to equity businesses with respect to the relevant compliance policies and procedures and relevant Japanese laws, rules and regulations, which are mainly related to their day to day businesses
- Escalate significant or unresolved issues to the Compliance managers and the business units when necessary
- Conduct regular compliance training for business unit professionals
- Help handling the regulatory and internal investigations/audits
- Assess potential risks associated with the coverage area and address to enhance internal control functions as well as collaborate with front line risk management team
- Assist the Compliance review to approve New Products
- Keep abreast of new regulations and communicate such updates to affected business areas to ensure that the firm has appropriate controls in place Prerequisite
- Full professional proficiency in Japanese and English (written and verbal) required
- JSDA Type-1 Registered Rep (1-shu Shoken Gaimuin) qualification and Internal Control Officer (Naibu Kanri Sekininsha) qualification.
Desired Experience, Knowledge and Skills
- Work experience (5+ years) in the business unit or control function related to equity business (listed and/or OTC)
- Knowledge of business and regulations around the sales and trading activities of equity products
- Good team player with the ability to build smooth working relationships
- Good interpersonal skills and ability to work effectively with colleagues and business units
- Strong analytical skills and detail-oriented approach with the ability to detect and escalate issues
- Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program;
- Ability to handle multiple tasks simultaneously and work under tight deadlines
- Strong work ethic

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years.  Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background.  Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit:https://www.morganstanley.com/people-opportunities/eeo.