Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
Professionals within Legal and Compliance Division (LCD), provide a wide range of services to our business units. They help in structuring complex and sensitive cross-border transactions; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm's invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain co-operative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses.
Background of the Role
We are looking for an experienced professional to join the Compliance Framework team. The team covers compliance governance, planning and strategy, and supports APAC Chief Compliance Officer to design, calibrate and implement compliance frameworks that ensure appropriate application of Morgan Stanley's global compliance standards across APAC, while balancing local regulatory requirements and the Firm's evolving business activities.
Responsibilities
The successful candidate will
• Implement global compliance programs, including:
o compliance integrated risk program
o compliance lessons-learned program
o compliance regulatory reporting program
o cross-border activities
• Handle a spectrum of compliance initiatives, projects and frameworks, such as change management and risk-based thematic compliance initiatives, from risk assessment to design, planning, collaboration and execution
• Collaborate with compliance professionals across levels globally and regionally
• Draft policies, procedures, guidance and instructions which may cover complex regulatory topics
• Prepare management information packs for Compliance management
Qualifications:
Requirements
• Minimum 8 years of working experience in a global financial firm or a regulator, in a legal, compliance or regulatory capacity
• Solid working knowledge of HK regulatory standards, focus areas and risks (SFC, HKMA), with some understanding of key markets across APAC
• Working experience in compliance frameworks, controls and processes, with a good understanding of compliance, regulatory and non-financial risks
• A hands-on person focusing on value-add and deliverables
• Confident in collaborating with global and regional counterparts
• Creative, innovative and able to think outside the box. Strong analytical skills, attentive to details, flexible and practical
• Strong command of written and spoken English and Chinese
Morgan Stanley has earned a worldwide reputation for the excellence of its advice and execution in financial markets. With offices in more than 41 countries, the firm is truly global-and a market leader in the U.S., Europe and Asia as well as in emerging markets. Morgan Stanley's success rests on the talents and passion of our people, who share a common set of values and bring excellence and integrity to everything they do. We seek to grow long-term relationships by virtue of our consistently rigorous thinking and the unsurpassed access to financial markets that Morgan Stanley can bring. This means providing leadership in specific areas such as investment banking, debt and equity underwriting, research, and sales and trading. We also focus increasingly on creating custom-tailored solutions that cut across functions to help our clients realize new opportunities and solve complex problems. Our aim is to be the first choice of everyone who deals in financial markets, whether as prospective clients, employees or investors.
We believe our greatest asset is our people. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. Visit https://www.morganstanley.com/people to discover who we are and the right opportunity for you.
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