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Private Side Compliance Officer, VP/ED - Legal & Compliance Division

Morgan Stanley
Tokyo, Japan
Closing date
Jan 17, 2024

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About the Firm

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 747 offices in 42 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.

About the Division

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.

Key Responsibilities
  • Provide compliance guidance to private side businesses (such as the Global Capital Markets and Investment Banking Divisions) and the Research Division with respect to relevant compliance policies and procedures and relevant laws, rules and regulations, which are mainly related to their day to day businesses.
  • Articulate and maintain the code of conduct required by the laws, regulations and policies governing these business operations.
  • Monitor changes in laws and regulations (such as relaxation of Japanese firewall regulations and amendments to IPO pricing rules) affecting the businesses, effectively communicate updates to affected business areas, coordinate with Regulatory Relations in approaching the regulator for clarification and/or relief from regulations materially impacting the business; and take initiative in developing and implementing a compliance program designed to ensure compliance with such laws and regulations;
  • Implement and enforce appropriate policies through training, testing, monitoring and advisory coverage of the business;
  • Liaise with Compliance counterparts at Mitsubishi UFJ Morgan Stanley Securities on implementation of new or amended policies, training of Investment Banking professionals, and handling of Compliance incidents;
  • Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary;
  • Assess potential risks associated with the coverage area and address to enhance internal control functions as well as assist front line risk management framework;
  • Participate in review and approval of new products for issuer and advisory clients
  • Support the Head of Private Side Compliance in leading and mentoring junior members of the team
Qualifications, Skills & Requirements
  • Minimum of 5-7 years compliance, legal, audit or other control function experience covering institutional securities businesses, with experience in M&A and/or capital markets transaction;
  • Strong analytical skills with the ability to identify issues and risks and proposing solutions;
  • Creative problem solving skills that demonstrate an awareness of relevant rules and practical application rather than a devotion to the technical interpretation of such rules;
  • Ability to work as a team player with a variety of senior and junior people (local, regional and global, and within Compliance and the business units), including taking ownership, delegating or escalating as necessary, and build smooth working relationships;
  • Ability to prioritize in a fast moving, constantly changing environment, to handle multiple tasks simultaneously and work under tight deadlines; and
  • Excellent communication skills, both written and oral. Bilingual fluency (Japanese and English).
Skills desired (preferred)
  • Practiced law, including advising on capital markets and/or M&A transactions;
  • Worked in a multinational organization and/or has experience working with overseas business partners and clients;
  • Interacted with Japanese regulatory agencies on a regular basis; and/or
  • Lead a team and/or actively mentored colleagues
Why Morgan Stanley?
  • A career with Morgan Stanley means being part of an inclusive culture that encourages diverse perspectives, innovation, and cross-collaboration to bring value to our clients. You'll find passionate people from all walks of life working together to make the world a little better every day.
  • We invest in the growth and success of our people through mentorship and development programs, as well as abundant opportunities to connect with peers and senior leaders through employee-driven networks and volunteer activities.
  • Your wellness and priorities outside of work are important to us. Our competitive compensation and benefits package is designed to support the diverse needs of our employees and take care of you and your family.
  • Morgan Stanley is an equal opportunity employer. Our goal is to build and support a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. We are committed to support special needs or reasonable accommodations necessary to enable you to work comfortably and effectively.
Discover our Japan Offerings:

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Our Commitment to Japan

Everything we do at Morgan Stanley is guided by our five core values: do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back. Since opening a representative office in Tokyo in 1970, we have been one of the largest and most active foreign financial firms in Japan providing investment banking, sales & trading, real estate, and investment management services.

Our People (English):

Our People (Japanese):

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