CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Asia Pacific Private Side and Research Compliance & Conflicts Management, Vice President
February 4, 2020
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 42 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 Teams The Private Side and Research Compliance group advises on and assists in establishing, implementing and enforcing compliance policies and procedures. The Firm's private side businesses comprise of Investment Banking Division (IBD), Global Capital Markets (GCM) and Investment Management private side funds including Private Equity, Real Estate and Infrastructure funds. The group is responsible for providing compliance oversight of the Firm's private side and Research businesses; providing advisory support; drafting and updating policies and procedures; and training personnel, among other activities. The Global Conflicts Office is part of the Legal and Compliance Department, and is responsible for overseeing the Firm's global conflicts architecture.
We are now looking for an experienced and high caliber individual to join the Asia Pacific Private Side and Research Compliance team and the Global Conflicts Office, based in Hong Kong.
Private Side and Research Compliance: - Advising and supporting the private side and Research businesses on a wide range of internal and transaction-related compliance matters - Drafting policies and procedures, including written supervisory procedures - Assisting in the development of training materials and conducting training sessions - Identifying and advising the private side and Research businesses on new or changes to existing laws, regulations and anticipated areas of regulatory focus - Preparing supervisory metrics - Providing guidance and working closely with the Litigation and Surveillance Regulatory Inquiries teams in connection with the preparation and response to regulatory inquiries and examinations related to private side and Research activities - Participating in various projects, such as new product initiatives and implementation of new regulations - Liaising with regional and global Legal and Compliance colleagues on matters pertaining to private side and Research business
Global Conflicts Office: - Daily review of new mandates/ situations submitted into the Firm's Conflict File in Asia - Analyze any existing, relevant touch points - Distribute each new mandate to applicable Business Units for review - Facilitate clearance or other appropriate actions for each new submission in Asia liaising closely with relevant BUs and LCD, as well as interfacing with the other regional Conflict Managers in the GCO office - Conversely, liaise with other regional Conflict Managers regarding clearing non- Asia submissions for the Asia region - Respond to conflicts-related queries/ provide interpretations to BUs - Assist in providing relevant information on mandates required to be disclosed to clients - Assist in collecting/ analyzing conflicts-related metrics - Assist in user acceptance testing (UAT) of Conflict system enhancements
Skills required: - Bachelor's Degree (a Law Degree or Accounting qualifications a distinct advantage) - Minimum 3 years of relevant working experience with a global financial service company preferably in Law, Compliance or Risk and Controls functions - Self-starter who is able to deal with bankers in the business - Ability to work as a team player, as well as independently - 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