TK Compliance, FID Advisory, Vice President

  • Competitive
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Morgan Stanley
  • 01 Oct 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
-Provide Compliance support for fixed income sales and trading desks, as well as support functions: IT, Risk, Operations, controllers, finance
-Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules
-Communicate with traders and supervisors to assess Risk and remediate issues
-Participate in global forums with other LCD professionals to discuss regulatory developments related to coverage universe
-Interact with regulators in connection with coverage areas
-Assist in the design and maintenance of written supervisory procedures
-Assist in regulatory reviews, including inquiries, audits and exams
-Design and deliver applicable training for business unit personnel
-Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations
-Interact with technology support and Risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation


Skills required (essential)
-Minimum of three years of related experience
-Candidate must demonstrate ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner
-Candidate should be able to summarize and escalate issues in internal and external forums
-Candidate should be proficient in time management and able to initiate and manage projects.
-Bachelor's degree required
-Candidate must be fluent in Japanese and English