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Morgan Stanley has a long history in Taiwan, having operated in the market since 1990. The Firm's Taipei office provides a full range of services, including investment banking (capital raising and M&A advisory) and institutional equities, facilitating equity transactions for both local and foreign institutional clients through its membership of the Taiwan Stock Exchange, the GreTai Securities Market and Taiwan Futures Exchange. Our services also include futures trading and research. In addition, certain of Morgan Stanley Investment Management's funds are distributed locally through a domestic master agent.
Based in Taipei, the Firm is seeking a highly self-motivated and experienced Compliance professional to support the Taiwan Compliance Lead with these key responsibilities:
Create and maintain the adequate and up-to-date internal policies and procedures
Conduct testing and trade surveillance activities
Deliver Compliance training to address Firm policy and local regulatory requirements
Handle licensing and registration matters and regulatory notification and reporting items
Coordinate ad-hoc regulatory inquiries and on-site examination
Track regulatory changes and communicate such to the relevant parties
Provide sound advices to the Business Unit for compliance with rules and regulations and the Firm's policies
Bachelor degree or above
Preferable work experience in compliance or audit covering equity sales and trading, fixed income, or futures in financial services industry
Senior Broker Business Personnel license and Futures Business Personnel license holder necessary
Strong communication skills in both English and Mandarin essential