Japan Operations Risk and Regulatory Control (ORRC) team is responsible for Disclosure of Interest, Client Asset Segregation and Transaction Reporting. Our goal is to ensure the establishment of effective industry leading controls through structured risk identification and the proactive review of global Operations processes. ORRC performs complex, multi-product regulatory reporting and ensures the appropriate guardianship of client assets. The team is also an interface between Operations, Regulators, internal and external Auditors, and Legal and Compliance.
Client Asset Segregation (CAS) team is responsible for monitoring and processing daily client asset segregation as well as preparing regulatory reports related to client asset segregation and submitting them to regulators. In addition, team will be responsible for monitoring and executing Audit confirmation requests and also will be collaborating with internal teams and external auditors on Client Asset Segregation audits.
- Monitor and process daily Client Asset Segregation process
- Understand the regulatory requirements of Regulatory Reports related to Client Asset Segregation
- Prepare Regulatory Reports related to Client Asset Segregation and submit them to the regulators
- Investigate and resolve the exceptions in the process, and identify the correct position and transactions done by the firm
- Create and update the procedure manuals and other documentations
- Escalate and mitigate risks associated with Client Asset Segregation processes
- Understand the Governance of Client Asset Segregation, and ensure the processes and reports are in compliant with the Japan regulation as well as Firm's policy and procedure
- Identify areas for process improvement and implement effective control while achieving efficiency and optimization
- Monitor and execute Audit Confirmation requests
- Collaborate with internal teams and external auditors on Client Asset Segregation audit
- Be a self-starter with positive working attitude
- Contribute as a team
- Have effective communication skills and interact inclusively
- Identify problems as they arise and know when they need to be escalated
- Be adaptable to changes and new challenges
- Be keen to learn new skills and do so quickly
- Have proficiency with English and Japanese - Fluent in written and spoken communications
- Have proficiency with Microsoft Office (Excel, Word, and PowerPoint)
- Have knowledge of Japan regulatory reporting
- Have experience in technology related project
- Have middle or back office experience
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.
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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.
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