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Morgan Stanley's Legal and Compliance Department helps preserve the Firm's reputation for integrity and ensures the Firm's policies and procedures meet regulatory requirements around the world. In addition, LCD plays a key role in maintaining Morgan Stanley's cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses.
Background on the Position
We are looking to hire a senior Vice President to join a team which provides internal client advisory coverage of the Institutional Equity Division in Asia Pacific, in particular, the following:
- core equities sales and trading matters, including agency and facilitation, short selling and regulatory enquiries
- brokerage sales and trading involving securities listed in Asian jurisdictions – China (China A and B Shares), listed futures, QFII and Stock Connect, India (FPI), Korea and Taiwan
- electronic trading
The team currently consists of 4 lawyers based in Hong Kong reporting into an MD (who is responsible for Sales and Trading Equities, Fixed Income and Private Wealth Management), with additional support from a markets coverage lawyer in other Asian regions such as Singapore, Korea and Australia. This role will report into an Executive Director in the team who largely leads coverage of day-to-day equity sales and trading matters (cash and derivatives), electronic trading and delta-one products. Responsibilities also include providing regulatory advice, advising on documentation relating to all aspects of the cash equity sales and trading business, including reviewing legal issues associated with our membership of exchanges and other trading venues. Responsibilities could also include responding to regulatory inquiries and initiatives, market structure reform and policy work.
The role, based in HK, provides coverage for the Asia Pacific region also involves working with country coverage lawyers in China, Singapore, India, Korea and Australia, external counsel as well as local Compliance professionals in each of our regional offices in Asia Pacific. Position will suit a dynamic individual with problem solving mind-set who would like direct exposure of working with clients on the trading floor.*LI-GK2
We are looking for:
A senior Vice President with general finance training from reputable international law firm or in-house counsel at a leading financial institution (Critical requirement)
Excellent academics (Critical requirement)
5-7 years PQE
HK or UK qualified (other common law jurisdictions considered)
Excellent oral and written communication skills (English)
Ability to speak, read and write Chinese and specifically Mandarin will be desirable
First rate legal drafting and negotiation skills
Strong technical knowledge of Equity Sales & Trading and documentation and regulation required
First rate analytical skills and the ability to identify and resolve issues in a fast paced environment
Proactive, willing to learn, organized, detail-orientated, with an ability to handle pressure, manage a diverse and complex workload and work to tight deadlines