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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 747 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.
The Legal and Compliance (LCD) department provides a wide range of services to our business units. The professionals in the LCD team 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 will preserve the firmâ€™s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They will also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firmâ€™s businesses.
Background on the Team
With rapid growth of our business developments in China, Morgan Stanley Bank International China Ltd. (MSBIC) Beijing (BJ) Branch is currently looking for an experienced professional to join the China Compliance team at Director level. This role will be based in Beijing and report directly to the Head of Compliance for MSBIC.
Â· Promote the culture and practice of compliance with the letter and spirit of regulatory requirements and ethical standards in the conduct of business, and to ensure the branchâ€™s practice in compliance with those local and central requirements and standards.
Ensure that the Branch operate in accordance with
o All regulatory requirements and
o All Group standards of conduct, so as to protect and enhance the reputation of the bank with its regulators and avoid significant financial loss.
Â· Provide support to MSBIC Head of Compliance and Bank Management to ensure that they establish and monitor appropriate arrangements for meeting regulatory obligations and high standards of conduct in their businesses, in accordance with Group compliance standards.
Â· Provide compliance advisory to Business Units in a focused and consistent manner and in accordance with Group standards.
Â· Assist MSBIC Head of Compliance to enhance the Groupâ€™s relationship with its central regulators as well as local regulators, so as to maximize the benefit to the Bank flowing from those relationships.
Â· Act as a contact person for regulatorsâ€™ requirement and survey as well as on-site inspections, and ensure that all the reports and surveys in BJ branches are timely submitted.
Â· Provide a pro-active support on regulatory problems arising from alleged or actual breaches of regulatory requirements and/or ethical standards, where there is a material risk to the reputation of the bank or its relationship with its regulators, so as to avoid/minimize reputational damage.
Â· Provide necessary compliance training and AML training to Branch professionals
Â· Qualified professional with over 7 years of experience; over 3 years of experience in the Financial Services industry
Â· Working knowledge of banking and related laws and regulations in China
Â· Corporate or Wholesale Banking experience and familiarity with products including Deposits, Loans, FX, and Derivatives
Â· Highly analytical with sharp monitoring skills
Â· Strong network with central and local regulatory bodies will be advantageous
Â· Sound judgment enabling the provision of sound advice in difficult areas of compliance
Â· Inquisitive approach to practices, procedures and specific transactions
Â· Independent worker with maturity, integrity, and ethics