Tokyo Morgan Stanley

Job Title: Head of Japan Private Side Compliance, ED

Job Summary:

The Head of Japan Private Side Compliance will be responsible for leading a team to provide effective oversight of the Private Side Compliance Program in Japan. This includes driving compliance with relevant regulations, policies, and standards underpinned by a strong governance framework.

Key Responsibilities:

  • Advise and challenge private side businesses and Research with respect to the Morgan Stanley Code of Conduct and relevant compliance policies and procedures.
  • Develop, implement, maintain, and enforce a Compliance program, including policies and procedures, training, testing, and monitoring.
  • Liaise with business leads, risk managers, and global colleagues to ensure accurate identification of risks 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.

Qualifications:

  • Minimum of 7-10 years of relevant experience in compliance, legal, audit, or other control function covering institutional securities businesses.
  • Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment.
  • Bilingual fluency in Japanese and English, and excellent written and verbal communication skills.

Salary:

$150,000 - $200,000 per year



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