Legal and Compliance - FID Compliance

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

·       Provide comprehensive compliance advisory coverage for the Firm’s Fixed Income businesses on applicable compliance policies and procedures and relevant laws, rules and regulations, with a focus on day-to-day businesses activities, including sales and trading, commodity business, non-performing loan/reorganization businesses and insurance brokerage businesses.

·       Partner with Private Side Compliance to provide compliance advice and guidance to capital markets professionals engaged in Fixed Income-related transactions, including private placements of debt instruments, derivatives and structured products.

·       Establish, communicate and maintain appropriate standards of conduct in accordance with applicable laws, regulations and Firm governing the relevant businesses.

·       Manage regulatory relationships and examinations, as well as internal investigations and audits,  and escalate material or unresolved issues to senior Compliance management and relevant business management, as appropriate.

·       Develop and deliver regular compliance training for business unit professionals and supervisors.

·       Identify and assess compliance and regulatory risks within the coverage areas, recommend appropriate enhancements to the control environment, and support businesses 1LOD risk management framework.

·       Participate in review and approval of New Instruments and New Products relevant to the covered business.

• Keep abreast of regulatory developments, communicate relevant changes to affected business areas, and work with stakeholders to ensure that appropriate controls are in place.

Qualifications

Skills required (essential)

·       Substantial experience (typically 10+ years) in Fixed Income Compliance, Legal, Regulatory Affairs, or a related control function, preferably within a global financial institution;

·       Deep knowledge of Fixed income products and markets, including derivatives, structured products, financing transactions, and other non-flow businesses;

·       Strong understanding of applicable Japanese regulatory frameworks, including the Financial Instruments and Exchange Act, Commodity Derivatives Transaction Act, relevant derivative regulations, Money Lending Business Act, Insurance Business Act and related regulatory requirements;

·       Demonstrate ability to identify emerging regulatory, compliance, and conduct risks and to develop pragmatic, risk-based solutions in partnership with business stakeholders.

·       Strong leadership, stakeholder management, and influencing skills, with the ability to build credibility and foster effective partnership, and drive strategic initiatives across all levels of the organizations;

·       Proven ability to operate independently, exercise sound judgment, and manage competing priorities, and deliver results in a dynamic and evolving environment;

·       Excellent analytical and problem-solving skills, with the ability to assess complex issues, balance competing considerations, and provide clear, actionable advice;

• Exceptional written and verbal communication skills in both Japanese and English, with the ability to effectively engage with senior management, business leaders, control function partners, and regulators;
• Experience in managing regulatory relationships, including regulatory inquiries, examinations, inspections, and other supervisory interactions; and,
• Collaborative and inclusive leadership style, with a strong commitment to teamwork, talent development, and organizational effectiveness. 

Skills desired

• Proficient in various PC skills, including Microsoft Office Suite (Excel, Word, PowerPoint), data management tools, and digital collaboration platforms.
• Solid understanding of AI solutions, particularly in leveraging technology to improve and enhance business processes.

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.