Morgan Stanley

ComplianceTesting - Director

Morgan Stanley
Full Time
Intermediate (3-6 years)
Bachelor
English

Job Description

ComplianceTesting - Director

Location: Non-Japan Asia-Hong Kong-Hong Kong-Hong Kong

Company Profile
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 provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; 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 cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
 
Primary Responsibilities

Asia-Pacific Compliance seeks a candidate for a Hong Kong-based Professional position (Manager/Director) in the Asia-Pacific Monitoring and Testing Team. Reporting to Tokyo-based Asia Compliance Monitoring and Testing Coordinator, this role will actively assist in several areas of responsibility including:
-Running the Risk Assessment framework
-Carrying out in-depth reviews
Running the Risk Assessment framework will involve:
-Coordinating the application of the risk assessment process in Asia-Pacific and collating and presenting risk assessment results
-Determining appropriate actions to match the results and ensuring these are carried out
-Participating in annual planning of in-depth reviews
Carrying out In-depth reviews will involve:
-Analysis of regulations and internal rules for each review topic
-Interviews with business employees responsible for a particular area and review of working materials
-Detailed documentation of review work-papers
-Identification of areas requiring attention and assessment of relative risk
-Presentation of findings and recommendations to Compliance and business area managers
-Following-up on review findings until resolution
Diversified exposure
-The incumbent will also be provided with the opportunity to participate in regional and global compliance monitoring and testing programs in addition to involvement in the wider activities of the Asia-Pacific Compliance team and is expected to make contributions outside of the specific scope of their role

Qualifications

Skills required (essential)
-The ideal candidate will have at least 5 years of relevant experience in the industry
-Experience in the following areas is required:
-Investment banking (particularly securities trading)
-Analysis of businesses and risk, (e.g. for regulatory compliance, due diligence or auditing)
-Experience in internal or external audit will be a plus


Technical Skills

  • Audit
  • Compliance
  • Due Diligence
  • External Audit
  • Investment Management
  • Risk Assessment
  • Wealth Management