VP, PWM Due Diligence Asia Pacific

Senior (6-10 years)

Technical Skills

  • Data Mining
  • Due Diligence
  • External Audit
  • Report Writing

Job Description

VP, PWM Due Diligence Asia Pacific

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.
The Due Diligence (DD) team conducts comprehensive and discreet due diligence investigations to identify and assess business and reputational risk issues involving potential clients, partners and vendors of Morgan Stanley. The Director plays a vital role in ensuring that the day-to-day operations of the Hong Kong Due Diligence team run smoothly. He/she will be expected to harness a working environment which encourages team work, energy and creativity. To achieve this, he/she should have strong leadership and excellent problem-solving skills along with good communication skills.
The DD team works closely with the Business Units, Client On-Boarding teams, Financial Crimes Group, Environmental Risk Officers etc. in the region and globally.

Primary Responsibilities:
- Work under the guidance of the Asia Pacific Head of Due Diligence to deliver an effective DD program for the firm.
- Managing a regional team.
- Overall responsibility for case management and adherence to client SLAs.
- Assist with ad-hoc tasks given by the CSI management team.
- Review regional due diligence reports prepared by the team.
- Conduct review of information and sources for accuracy, reliability and relevance in assessing risk.
- Work closely with Business Risk Officers, Financial Crimes Group officers and other Firm committees when a material due diligence finding has been identified.
- Provide updates as required to senior management, global counterparts and Chief Operating Officers of Business Units within the Firm.
- Manage, develop and implement regional policies and procedures, to ensure that the DD program is effective and compliant.
- Manage, develop and maintain a robust due diligence vendor pool to ensure that the firm get the most comprehensive and relevant DD product at the most competitive price.
- Continually enhance all aspects of the process to keep pace with the needs of the firm and the changes in the regulatory landscape.
- Represent the function in all internal external audit/review/testing engagements.
- Develop training materials related to due diligence process.


Skills required:
- Around 8 years of work experience, 5 of which should be in core Due Diligence in Asia.
- Minimum 5 years of experience in leadership roles managing multi-national teams.
- Excellent people and communication skills in a culturally diversified environment.
- Proficient in English and would be desirable to have Mandarin language skills.
- Proven track record of managing complex cases using source commentaries and field investigations.
- Hands on experience in desktop information retrieval and knowledge of on-line databases and data mining tools.
- Strong investigation and report writing /reviewing skills.
- Ability to build and comply to processes with a keen eye for details.
- Ability to deal with and articulately brief senior management on cases.
- Experience of managing DD vendors / sub-contractors.
- Good understanding of the current and developing business and political affairs within the Asia Pacific region.
- Good knowledge of regulatory frameworks related to AML/Sanctions/Anti-Corruption in the banking industry.
- Passionate about DD and having the ability to excel in a challenging environment.
- Graduate from an internationally reputed university.
- Certification in Anti Money Laundering and Fraud Examination will be desirable.

Employment TypeFull-time
Career LevelSenior (6-10 years)
Education LevelNon-specified
LanguageEnglish, Mandarin (Putonghua)
Morgan StanleyInvestment Banking and Brokerage

Level 46 International Commerce Centre 1 Austin Road West Kowloon Hong Kong SAR

directions_walk21 mins walk from Austin MTR Station