Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

Tailor your resume to this FID Compliance Officer, Legal and Compliance role.

Rezi rewrites your resume against Morgan Stanley's job description. Free.

Resume score gauge reading 58 out of 100

Don't guess if your resume is good enough.

See how it scores against the FID Compliance Officer, Legal and Compliance posting at Morgan Stanley — free, in seconds.

About the Role

Morgan Stanley is seeking a professional to provide comprehensive compliance advisory coverage for the Firm’s Fixed Income businesses. This role involves partnering with Private Side Compliance, establishing standards of conduct, managing regulatory relationships, and developing compliance training. The position requires identifying and assessing compliance risks, participating in new instrument reviews, and staying updated on regulatory developments.

Responsibilities

Provide comprehensive compliance advisory coverage for the Firm’s Fixed Income businesses on applicable compliance policies and procedures and relevant laws, rules and regulations, with a focus on day-to-day businesses activities, including sales and trading, commodity business, non-performing loan/reorganization businesses and insurance brokerage businesses.
Partner with Private Side Compliance to provide compliance advice and guidance to capital markets professionals engaged in Fixed Income-related transactions, including private placements of debt instruments, derivatives and structured products.
Establish, communicate and maintain appropriate standards of conduct in accordance with applicable laws, regulations and Firm governing the relevant businesses.
Manage regulatory relationships and examinations, as well as internal investigations and audits, and escalate material or unresolved issues to senior Compliance management and relevant business management, as appropriate.
Develop and deliver regular compliance training for business unit professionals and supervisors.
Identify and assess compliance and regulatory risks within the coverage areas, recommend appropriate enhancements to the control environment, and support businesses 1LOD risk management framework.
Participate in review and approval of New Instruments and New Products relevant to the covered business.
Keep abreast of regulatory developments, communicate relevant changes to affected business areas, and work with stakeholders to ensure that appropriate controls are in place.

Requirements

Substantial experience (typically 10+ years) in Fixed Income Compliance, Legal, Regulatory Affairs, or a related control function, preferably within a global financial institution.
Deep knowledge of Fixed income products and markets, including derivatives, structured products, financing transactions, and other non-flow businesses.
Strong understanding of applicable Japanese regulatory frameworks, including the Financial Instruments and Exchange Act, Commodity Derivatives Transaction Act, relevant derivative regulations, Money Lending Business Act, Insurance Business Act and related regulatory requirements.
Demonstrate ability to identify emerging regulatory, compliance, and conduct risks and to develop pragmatic, risk-based solutions in partnership with business stakeholders.
Strong leadership, stakeholder management, and influencing skills, with the ability to build credibility and foster effective partnership, and drive strategic initiatives across all levels of the organizations.
Proven ability to operate independently, exercise sound judgment, and manage competing priorities, and deliver results in a dynamic and evolving environment.
Excellent analytical and problem-solving skills, with the ability to assess complex issues, balance competing considerations, and provide clear, actionable advice.
Exceptional written and verbal communication skills in both Japanese and English, with the ability to effectively engage with senior management, business leaders, control function partners, and regulators.
Experience in managing regulatory relationships, including regulatory inquiries, examinations, inspections, and other supervisory interactions.
Collaborative and inclusive leadership style, with a strong commitment to teamwork, talent development, and organizational effectiveness.

Skills

Fixed Income Compliance
Legal
Regulatory Affairs
Fixed income products and markets
Derivatives
Structured products
Financing transactions
Japanese regulatory frameworks
Financial Instruments and Exchange Act
Commodity Derivatives Transaction Act
Money Lending Business Act
Insurance Business Act
Leadership
Stakeholder management
Influencing skills
Independent operation
Sound judgment
Managing competing priorities
Analytical skills
Problem-solving skills
Written communication (Japanese and English)
Verbal communication (Japanese and English)
Regulatory relationship management
Teamwork
Talent development
Organizational effectiveness
Microsoft Office Suite (Excel, Word, PowerPoint)
Data management tools
Digital collaboration platforms
AI solutions

Location

43 countries

Work Type

Full-time

Experience Level

10+ years

Benefits

Attractive and comprehensive employee benefits and perks

About the Company

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.
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals.
Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - 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.

Equal Opportunity

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background.
Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.