Private Side and Research Compliance, Associate / Director

Responsibilities

We are now looking for an experienced and high caliber individual to join the Private Side and Researchpliance coverage team, based in Hong Kong.

Duties include :

Advising and supporting the Private Side and Researchpliance business on the application of relevant policies and procedures and on new or changes to existing laws, regulations and anticipated areas of regulatory focus.

Working closely with the Private Side and Researchpliance and Legal coverage team, and the business risk team to advise on a wide range of internal and transaction-related matters.

Draft and review manuals,pliance Notices, policies and procedures in light of regulatory or business changes.

Assisting in the development of training materials and conducting training sessions.

Participating in and reviewing new business and infrastructure initiatives from a local and international regulatory, best practice and Firm perspective.

Preparing supervisory metrics.

Managing projects for internal control enhancements.

Providing guidance and working closely with the Litigation and Regulatory Relations teams in connection with the preparation and response to regulatory inquiries and examinations related to investment banking and capital markets activities.

Liaising with regional and global Legal andpliance colleagues on matters pertaining to investment banking and capital markets business.

Providing guidance and working closely with thepliance Testing team to identify risk areas, review findings and implement action items.

Qualifications

University graduate or equivalent degree preferred, ideally in law, business or accounting.

Minimum 4 years of relevant work experience in the financial services industry, preferably inpliance and / or with a securities exchange, regulator, or law firm.

Knowledge of regulatory andpliance requirements, preferably those related to IBD, GCM and Research.

Sound judgment in identifying risks in order to proactively escalate with the relevant senior managers.

Solid understanding of relevant industry and regional regulations and rules, pre-marketing, information barriers, conflict clearance process and an understanding of the Control Group function.

Proficient skills using Microsoft Office systems, especially PowerPoint and Excel, required. Knowledge and use of these systems are required in order to learn other Firm proprietarypliance systems.

Detail oriented, motivated and able to multi-task in a fast paced environment.

Self-starter who is able to deal with IBD / GCM bankers and Research analysts in the business.

Ability to work as a team player, as well as independently,

Outstandingmunication skills in English necessary to effectively interact with and influence internal and external stakeholders; fluency in Asian languages ( Mandarin and / or Cantonese) advantageous.

Strong analytical skills, detail-oriented, motivated and team player.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY :

We aremitted to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas,mitting to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients,munities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive andprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste / / morganstanley / about-us / global-offices into your browser.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce isprised of individuals drawn from a broad cross section of the globalmunities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strongmitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents. Job ID PT-JR015513