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Compliance professionals in the Control Group perform the following duties in a highly sensitive area of Morgan Stanley:
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
The ideal candidate will have worked in a compliance or similar function within a Financial Institution
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
Proactivity, enthusiasm and aspiration to learn and develop.
Ability to work independently as well as be an excellent team player.
Minimum 3-5 years work experience in a related compliance control room function and/or 5 years compliance experience preferred but not required
Experience in Investment Banking is preferred but not required