Compliance TK, Control Group, Associate / Manager
Position Description
Within Morgan Stanley, the Control Group in the Compliance Department is focused on maintaining the Chinese Wall and implementing Compliance policies and procedures for research and investment banking. The Control Group would utilize global policies, procedures and databases to provide seamless coverage for the Firm and conduct surveillance functions on Employees and Firm's trading activities to identify any potential insider trading. Globally there are four Control Group locations including New York, London, Hong Kong and Tokyo. Within each Control Group there are (i) Sales and Trading and (ii) Investment Banking and Research coverage teams.
Based in Tokyo (TK), the Control Group is looking for an Associate / Manager within Investment Banking Research coverage team with these primary responsibilities:
- Monitor the Firm's information barriers and track information flow
- Review research for compliance with applicable regulatory requirements and internal policies
- Manage any necessary regulatory body reporting and inquiries
- Track engagements of the investment banking division
- Chaperone communications between investment banking and research personnel
- Implement and provide advice with respect to the Firm's information barrier policies, including trading restrictions, clearance of employee trading requests, research publication and Wall ("China Wall") crossings
Skills Required
- Minimum 3-5 years of work experience in a related compliance control room function within a leading international financial institution, prior exposure to Investment Banking a distinct advantage
- Excellent communication skills, both written and oral in both English and Japanese language skills required
- Ability to manage multiple tasks simultaneously
- Ability to spot issues and analyze complex problems quickly and thoroughly
- Heightened sense of discretion
- Fine attention to detail
- Familiarity with, or ability to learn to utilize, diverse Firm systems
- Comfort interfacing with firm personnel at all levels on a range of issues, including sensitive and conflict matters
- Strong team spirit
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