【モルガン・スタンレー】Coverage Advisory : Job Level - Vice President
仕事内容
https://morganstanley.eightfold.ai/careers/job/549799692137?domain=morganstanley.com&hl=en
Primary Responsibilities
- The role holder will cover the general IED advisory Compliance, supporting and co-working with other members in Sales & Trading Compliance team
- Provide compliance guidance to equity businesses with respect to the relevant compliance policies and procedures and relevant Japanese laws, rules and regulations, which are mainly related to their day to day businesses
- Escalate significant or unresolved issues to the Compliance managers and the business units when necessary
- Conduct regular compliance training for business unit professionals
- Help handling the regulatory and internal investigations/audits
- Assess potential risks associated with the coverage area and address to enhance internal control functions as well as collaborate with front line risk management team
- Assist the Compliance review to approve New Products
- Keep abreast of new regulations and communicate such updates to affected business areas to ensure that the firm has appropriate controls in place Prerequisite
応募資格(必須経験など)
- Full professional proficiency in Japanese and English (written and verbal) required
- JSDA Type-1 Registered Rep (1-shu Shoken Gaimuin) qualification and Internal Control Officer (Naibu Kanri Sekininsha) qualification. Desired Experience, Knowledge and Skills
- Work experience (5+ years) in the business unit or control function related to equity business (listed and/or OTC)
- Knowledge of business and regulations around the sales and trading activities of equity products
- Good team player with the ability to build smooth working relationships
- Good interpersonal skills and ability to work effectively with colleagues and business units
- Strong analytical skills and detail-oriented approach with the ability to detect and escalate issues
- Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program;
- Ability to handle multiple tasks simultaneously and work under tight deadlines
- Strong work ethic