Japan Non-Financial Risk; NFR Testing, Legal & Compliance - Vice President

Company Profile

Morgan Stanley is a leading global financial services firm offering investment banking, securities, investment management, and wealth management services. With over 1,200 offices in 43 countries, our employees serve corporations, governments, and individuals worldwide. We value integrity, excellence, and teamwork, providing a strong foundation for professional growth and a culture that supports diverse perspectives and personal balance.

Legal and Compliance professionals deliver a broad range of services to our business units, including structuring complex transactions, advising on new products, developing training, and resolving disputes. The department protects the Firm's reputation and ensures compliance with regulatory requirements through robust policies and procedures, while maintaining strong relationships with regulators and policymakers.

Japan Non-Financial Risk (NFR) Testing operates within the Compliance department, collaborating closely with colleagues in Hong Kong, China, and India, and which forms part of the wider Asia NFR Testing team. Our team is responsible for designing and executing risk-based compliance reviews across all major business lines, including Sales and Trading, Investment Banking, Global Capital Markets, Research, Wealth Management, and Investment Management.

We work in partnership with global teams to ensure consistent standards and share insights on emerging risks and regulatory developments.

By leveraging local expertise and cross-regional coordination, the Japan NFR Testing team plays a critical role in maintaining the Firm's high standards of compliance and operational integrity. Our work supports proactive risk management and helps safeguard the Firm's reputation in a dynamic regulatory environment.

The Vice President will independently lead and execute risk-based compliance reviews across all major business lines in Japan, working in partnership with colleagues across the firm. This role is central to maintaining the firm's high standards of compliance and operational integrity. Reporting to the Head of Japan Testing, the position requires sound judgment, strong analytical skills, and a deep understanding of the regulatory environment.

• Execute risk-based compliance reviews to assess the effectiveness of Firm policies and procedures; recommend corrective actions for identified gaps.
• Analyze relevant regulations, internal rules, and policies to identify key risk areas for testing.
• Design detailed testing plans, including approaches to evaluate control design and operating effectiveness.
• Conduct reviews independently from initiation to completion, including walkthroughs with stakeholders and oversight of team deliverables.
• Prepare clear, concise written reports summarizing tests, results, and recommended actions.
• Present identified findings to BU and functional management clearly and effectively, with appropriate risk justifications, and facilitate discussions to reach agreement.
• Ensure work papers meet documentation standards.
• Coordinate with Testing teams in other regions (Americas, EMEA) for global reviews.
• Support regulatory inquiries and responses related to NFR Testing.

• Highly fluent in both Japanese and English, with strong written and verbal proficiency.

• Bachelor's degree or above, preferably in accounting, business, or law
• 8-12 years of relevant experience (candidates with less experience may be considered for a non-Officer role)
• Prior experience in compliance, risk management, or internal control functions; direct experience in Compliance Testing or audit is a strong plus

• Understanding of regulations in Japan
• Broad knowledge of capital markets, sales and trading, and banking activities
• Attention to detail and effective time management
• Good interpersonal skills; ability to work independently and collaborate across regions and business units

• Relevant professional qualifications (e.g., CIA, CFA, CPA, CA, FRM)

• A career with Morgan Stanley means being part of an inclusive culture that encourages diverse perspectives, innovation, and cross-collaboration to bring value to our clients. You'll find passionate people from all walks of life working together to make the world a little better every day.
• We invest in the growth and success of our people through mentorship and development programs, as well as abundant opportunities to connect with peers and senior leaders through employee-driven networks and volunteer activities.
• Your wellness and priorities outside of work are important to us. Our competitive compensation and benefits package is designed to support the diverse needs of our employees and take care of you and your family.
• We are committed to support special needs or reasonable accommodations necessary to enable you to work comfortably and effectively.
• Discover our Japan…