Morgan Stanley

Private Side (IBD/GCM and Research) Compliance, Director/Vice President

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

Job Description

Private Side (IBD/GCM and Research) Compliance, Director/Vice President

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.
 
Background on the Team
The Private Side Compliance group advises on and assists in establishing, implementing and enforcing compliance policies and procedures. The group is responsible for providing compliance oversight of the Firm’s private side businesses, including Investment Banking Division (IBD), Global Capital Markets (GCM) as well as Research; providing advisory support; drafting and updating policies and procedures; training personnel; and conducting monitoring and surveillance, among other activities.
 
Primary Responsibilities
Duties include:
-Advising and supporting  the IBD/GCM and Research businesses on a wide range of internal and transaction-related compliance matters 
-Assisting in development of training materials and conducting training sessions
-Drafting policies and procedures, including written supervisory procedures
-Conducting monitoring and testing surveillance of the business division and recommending enhancements to these processes as appropriate
-Assisting in identifying and developing program modifications based on new business, regulation and anticipated regulatory focus
-Preparing supervisory metrics
-Providing guidance and assistance to the Litigation and Surveillance Regulatory Inquiries teams in connection with the preparation and response to regulatory inquiries and examinations related to private side activities
-Participating in various projects, such as new product initiatives and implementation of new regulations
-Liaising internally within Legal and Compliance on matters pertaining to private side business

Qualifications

Skills required (essential)
-Bachelor’s Degree (a Law Degree or Accounting qualifications a distinct advantage)
-Approximately 5 to 8 years’ PQE as a corporate finance law practitioner in an established law firm and/or in-house or an equivalent number of years’ private side compliance experience at an investment bank or other financial institutions
-Self-starter who is able to deal with senior bankers in the business
-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 proprietary compliance systems
-Detail oriented, motivated and able to multi-task in a fast paced environment
-Exceptional written and oral communication skills required
-Proficiency in Mandarin advantageous


Technical Skills

  • Capital Markets
  • Investment Management
  • Microsoft Excel
  • Microsoft Powerpoint
  • Wealth Management