About the Firm

Morgan Stanley (NYSE: MS) is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in 42 countries, the firm’s employees serve clients worldwide including corporations, governments, institutions and individuals. For further information about Morgan Stanley, please visit www.morganstanley.com.

About the Role

The Head of Japan Private Side Compliance will be based in Tokyo and will report directly to the Head of Japan Non-Financial Risk (Managing Director), who is also Chief Compliance Officer for Morgan Stanley in Japan.

Key Responsibilities

The Head of Japan Private Side Compliance will be responsible for leading a team to provide effective oversight of the Private Side Compliance Program (including Control Group and Underwriting Due Diligence functions) in Japan by bringing a strategic focus to end-to-end process oversight, driving effective and efficient compliance with relevant regulations, policies and standards, underpinned by a strong governance framework.

The Head of Japan Private Side Compliance will also be responsible for leading the following key compliance functions for Private Side business areas and Research businesses in Japan, which includes Investment Banking Division, Global Capital Markets Division and Research Division:

·         Advise and challenge the private side businesses and Research with respect to the Morgan Stanley Code of Conduct, relevant compliance policies and procedures and relevant laws, rules and regulations, related to their day to day businesses;

·         Develop, implement, maintain and enforce a Compliance program, including policies and procedures, training, testing and monitoring, as required by or appropriate in light of the laws, regulations and policies governing their operations;

·         Liaise with business leads, risk managers, and global colleagues to ensure accurate identification of risks, determine appropriate risk mitigants and implement appropriate controls from a Compliance perspective;

·         Monitor changes in laws and regulations applicable to the relevant business areas, and effectively communicate updates to various stakeholders;

·         Handle regulatory audits and internal investigations/audits and address issues as appropriate, including timely escalation to senior management ;

·         Participate in review and approval of new products raised from the relevant business areas

·         Support the Head of Japan Non-Financial Risk (NFR) in developing and driving NFR strategic initiatives.

Qualifications, Skills & Requirements

Skills required (essential)

·         Minimum of 7-10 years of relevant experience in compliance, legal, audit or other control function covering institutional securities businesses, preferably at a large-complex financial institution.

·         Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment.

·         Ability to work as a team player with a variety of senior and junior colleagues and counterparties (local, regional and global, and within and outside of Compliance);

·         Ability to develop, foster and maintain effective working relationships with diverse groups of people within the organization as well as with external stakeholders and vendors.

·         Capacity to prioritize in a fast moving, constantly changing environment to handle multiple tasks simultaneously and work under fast-paced working environment;

·         Bilingual fluency in Japanese and English, and excellent written and verbal communication skills;

·         Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program;

·         Strong interpersonal skill and experience in managing and leading teams to successful strategic outcomes.

Skills desired (preferred)

·         Experience in compliance or legal functions with experience in M&A and/or capital markets transactions;

·         Practiced law, including advising on capital markets and/or M&A transactions;

·         Worked in a multinational organization and/or has experience working with overseas business partners and clients; and/or

·         Experience in handling Japanese regulatory exams and inquiries

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. 

- Discover our Japan Offerings: https://www.morganstanley.co.jp/ja/people/working-at-morgan-stanley

- Discover our Global Offerings: https://www.morganstanley.com/people/experienced-professionals

 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.

Our People (English): https://www.morganstanley.com/articles/who-we-are

Our People (Japanese): https://www.morganstanley.co.jp/ja/people