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About the Role

Seeking a qualified candidate to perform advisory, policy making, and training for the equity business in Japan. The role is based in Tokyo and will be at the Director or Vice President level, depending on experience.

Responsibilities

• Cover general IED advisory compliance and support the Sales & Trading Compliance team.
• Provide compliance guidance to equity businesses regarding policies, procedures, and Japanese laws/regulations related to daily operations.
• Escalate significant or unresolved issues to Compliance managers and business units.
• Conduct regular compliance training for business unit professionals.
• Assist in handling regulatory and internal investigations/audits.
• Assess potential risks in the coverage area and enhance internal controls, collaborating with the front-line risk management team.
• Support Compliance review for New Product approvals.
• Stay updated on new regulations and communicate updates to ensure appropriate controls are in place.

Requirements

• Full professional proficiency in Japanese and English (written and verbal).
• JSDA Type-1 Registered Rep qualification.
• Internal Control Officer qualification.

Skills

• Work experience (5+ years) in equity business (listed and/or OTC) or related control function.
• Knowledge of sales and trading activities for equity products and related regulations.
• Team player with strong relationship-building abilities.
• Effective interpersonal skills for working with colleagues and business units.
• Strong analytical skills and attention to detail.
• Ability to detect and escalate issues.
• Highly motivated self-starter capable of independent work and collaboration.
• Ability to manage multiple tasks and meet deadlines.
• Strong work ethic.

Location

• Tokyo

Work Type

• Full-time

Experience Level

• Director
• Vice President

Benefits

• Attractive and comprehensive employee benefits and perks.

About the Company

• Morgan Stanley raises, manages, and allocates capital for clients, operating for 90 years.
• Values include putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back.
• Operates in 1,200 offices across 42 countries with over 80,000 employees.
• Provides an environment where employees are supported and empowered.
• Teams are collaborative and creative, fueled by diverse backgrounds and experiences.
• Supports employees and their families with comprehensive benefits and perks.
• Offers opportunities for career advancement for those demonstrating passion and grit.

Equal Opportunity

• Morgan Stanley is an equal opportunity employer committed to building and maintaining a diverse workforce.
• Recruiting efforts reflect a strong commitment to a culture of inclusion.
• Individuals are hired, developed, and advanced based on their skills and talents.
• The workforce reflects a broad cross-section of global communities, bringing diverse backgrounds, talents, perspectives, and experiences.