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FID Compliance, Legal ＆ Compliance Division － Director
年収：800万 ～ 5000万
採用企業案件
モルガン・スタンレー・グループ株式会社
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- 会社規模501-5000人
- 証券
| 部署・役職名 | FID Compliance, Legal ＆ Compliance Division － Director |
|---|---|
| 職種 | |
| 業種 | |
| 勤務地 | |
| 仕事内容 |
About the Firm Morgan Stanley (NYSE: MS) is a leading global financial services firm providing investment banking, securities, wealth management and investment management services. With offices in more than 41 countries, the Firm's employees serve clients worldwide including corporations, governments, institutions and individuals. 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 Role The lawyers, compliance, financial crimes and operational risk professionals of Morgan Stanley's Legal & Compliance Division (LCD) provide a wide range of services to our business units. They preserve the Firm's invaluable reputation for integrity and protect the Firm 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. Provide compliance guidance to fixed income businesses with respect to the relevant compliance policies and procedures and relevant Japan laws, rules and regulations, which are mainly related to their day-to-day businesses, including sales and trading, and lending businesses. Work with Private Side Compliance to provide compliance guidance to capital markets professionals engaged in fixed income products such as private placements of debt instruments, derivative transactions and structured products. Articulate and maintain the code of conduct required by the laws, regulations and policies governing these business operations. Monitor changes in laws and regulations affecting the businesses and implementing a compliance program to ensure compliance. Implementing appropriate policies, training, testing and monitoring and advisory coverage for the business. Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary. Conduct regular compliance training for business unit professionals and supervisors. 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 Instruments and New Products for individual investment teams Keep abreast of new regulations and communicate such updates to affected business areas to ensure that the firm has appropriate controls in place 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. 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. WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they 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. Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents. |
| 応募資格 |
【必須（MUST）】 Skills requiredMinimum of 5 years fixed income-related compliance or legal; Work experience in derivative transactions and structured products in the fixed income areas. Have good knowledge of securities and derivative regulations, including Japan's Financial Instruments and Exchange Act and derivative regulations; Inquisitive and proactive in identifying risks & issues and proposing solutions; Good interpersonal skills and excellent written communication skills; Ability to work with a variety of senior and junior people, and build smooth working relationships; Good team player - one who is able to prioritize in a fast moving, constantly changing environment; Entrepreneurial inclination - ability to work alone and act as project manager; Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment; Ability to handle multiple tasks simultaneously and work under tight deadlines; Excellent communication skills, both written and oral. Bilingual fluency, in Japanese and English; Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results. Communicate smoothly with regulators. Skills desired Proficient in various PC skills, including Microsoft Office Suite (Excel, Word, PowerPoint), data management tools, and digital collaboration platforms. Solid understanding of AI solutions, particularly in leveraging technology to improve and enhance business processes. |
| 受動喫煙対策 | 対策なし |
| 更新日 | 2025/09/03 |
| 求人番号 | 5586805 |
採用企業情報
- モルガン・スタンレー・グループ株式会社
-
- 会社規模501-5000人
- 証券
-
会社概要
Morgan Stanley’s leading position in Japan’s financial markets reflects 40 years of client focus, innovation and the continuous pursuit of excellence. With more than 1,300 people in Japan, Morgan Stanley is one of the largest and most active foreign financial firms in the Japanese market. We are a preeminent provider of investment banking, sales & trading, real estate and investment management products and services.
Organization Overview:
Voting Interest
Morgan Stanley:Mitsubishi UFJ Financial Group = 51%:49%
Organization Diagram
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