Morgan Stanley

Operations HK, Disclosure of Interest, Vice President

Morgan Stanley
Full Time
West Kowloon
Non-specified
Lead (more than 10 years)
Non-specified
English

Job Description

Operations HK, Disclosure of Interest, Vice President

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

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.
Operations is one of the largest divisions in the firm and has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, the Operations department continually seeks ways to improve while actively supporting the development of new businesses, structures and markets.
Position Description:
The Operations Risk & Regulatory Control Division is a global team responsible for Control (Balance Sheet Control, Credit & Market Risk, Policies & Procedures), Regulatory Reporting (Disclosure of Interest, Client Money, Transaction Reporting), Risk (Client Confidentiality, Operational Risk, BCP) and CTB Projects. The Division has team members across the Firm, located in 6 locations across the globe.
This role is a key part of the Regulatory pillar within ORRC and the primary responsibilities will be within the ORRC Disclosures of Interest (DOI) team; a team that is focused on fulfilling regulatory requirements including; Short Position Monitoring and disclosure, Substantial Shareholder position monitoring and disclosure, Takeover Panel Reporting and disclosures as well as multiple other oversight functions to ensure Morgan Stanley is meeting reporting requirements and disclosing in line with Regulations.  DOI is a business critical function for Morgan Stanley.
The primary responsibilities will be twofold:
i)              Management support for the oversight of daily DOI production processes which includes review and sign-off of daily reporting deliverables covering Asia Pacific region.
ii)             Responsibility for DOI production support which is responsible for monitoring regulatory and business changes for the Hong Kong DOI Ops team, evaluating impact and ensuring change requirements are defined and the change portfolio managed appropriately.
The candidate should expect to build an intricate knowledge of Asia Pacific rules and regulations pertinent to the team, firm systems, data sources, as well as the processes that are in place to ensure compliance with regulations.
The successful candidate must work closely with the members of all of the Operations functional groups as well as other stakeholders across the Firm. The primary relationships will be with the Asia Head of ORRC, Global Head of DOI, Regional DOI leads, Compliance and Technology.  Regular engagement will be required with the various DOI Governance Committee members and key stakeholders which includes Operations, Technology, the Business Units and Legal & Compliance. 

Qualifications

Skills Required: 
 
Required
• 10 years of experience in designing and managing regulatory or risk functions in Financial Services/Banking industry.
• Strong functional knowledge of operations and trade life cycle.
• Excellent ability to analyse and assess impact of changes on existing processes and identify action required to comply.
• Excellent management, leadership, and communication skills.
• Excellent communication skills including ability to write documents for presentation to senior management and regulators.
• Strong analytical and problem solving skills.
• Ability to design and implement creative and flexible solutions to problems.
• Ability to work within tight delivery timeframes.
• Ability to partner with colleagues across functions and lead effectively across geographical boundaries.
• Ability to coordinate efforts with IT supports to create new tools and enhance functionality of existing technology platforms.
• Strong experience with MS Office (Excel, Power Point, Visio and Access).
    
Skills Desired: 

Preferred
• Strong functional knowledge of disclosure of interest regulations.
• Familiarity with Morgan Stanley Operations systems, processes, and framework

Technical Skills

  • Market Risk
  • Microsoft Access
  • Microsoft Excel
  • Microsoft Powerpoint
  • Microsoft Visio
  • Operational Risk
  • Regulatory Reporting