Core Compliance, Legal & Compliance division - Director

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
• Executing and facilitating the following Core Compliance functions and other Compliance-related projects and initiatives.
•  Regulatory Filings -  Responsible for preparing and submitting periodic and adhoc regulatory filings to regulators, self-regulatory organizations etc.
• Regulatory Notices - Responsible for daily distribution of regulatory changes and notices to relevant stakeholders.
• Other Core Compliance related assignments – Assist other team members in areas such as policies/trainings, employee registrations, employee trading/outside business activities compliance, complaints handling, as necessary, to enhance team’s cross coverage and efficiency.

Qualifications - External

• Skills required (essential)
• Ability to read and understanding laws, regulations and guidance in relation to securities business.
•  Excellent communication skills in English and Japan, both written and oral.
• Organized and detailed oriented with the ability to perform multiple tasks simultaneously.
• Analytical skills and attention to detail.
• Effectively prioritize responsibilities and produce results.• Ability to work independently as well as be an excellent team player.
• Project management skills, including negotiations with various stakeholders together to achieve a common goal.
• Eagerness to involve in new projects and initiatives as well as challenge existing processes for possible improvement.
• Proactivity, enthusiasm and aspiration to learn and develop.• 5-7 years in financial services
• Skills desired
• Relevant experience in compliance, risk management or regulatory related functions.

• Comprehensive understanding of the regulatory requirements and regulatory expectations. Experience in regulatory examinations is a plus.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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 opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.