TK Compliance, Control Room, Associate to AVP

  • Competitive
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Morgan Stanley
  • 29 Sep 16

See job description for details

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
Compliance professionals in the Control Group perform the following duties in a highly sensitive area of Morgan Stanley:
- Monitor the Firm’s information barriers and track information flow
- Review research for compliance with applicable regulatory requirements and internal policies
- Manage any necessary regulatory body reporting and inquiries
- Track engagements of the investment banking division
- Chaperone communications between investment banking and research personnel
- Implement and provide advice with respect to the Firm’s information barrier policies, including trading restrictions, clearance of employee trading requests, research publication and Wall (“China Wall”) crossings


Skills required (essential)
-The ideal candidate will have worked in a compliance or similar function within a Financial Institution
-Minimum 3-5 years work experience in a related compliance control room function preferred but not required
-Experience in Investment Banking is preferred but not required
-Excellent communication skills, both written and oral in both English and Japanese language skills required
-Ability to manage multiple tasks simultaneously
-Ability to spot issues and analyze complex problems quickly and thoroughly
-Heightened sense of discretion
-Fine attention to detail
-Familiarity with, or ability to learn to utilize, diverse Firm systems
-Comfort interfacing with firm personnel at all levels on a range of issues, including sensitive and conflict matters
-Preference for working in a team environment