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.
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.
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 firmâ€™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 firmâ€™s businesses.
Background on the Team
The Private Wealth Management (PWM) business of Morgan Stanley is part of International Wealth Management (IWM) and focuses on serving the investment needs of ultra-high net worth individuals. PWM Compliance is responsible for assisting in managing the Firmâ€™s PWM business regulatory risks and helping to preserve the Firmâ€™s franchise through ensuring business and infrastructure unitsâ€™ compliance with applicable laws, regulations, rules and internal policies and procedures.
Primary goal: Assist in ensuring compliance with laws, regulations and rules and the Firmâ€™s policies, procedures and standards, with a focus on Singapore banking and securities laws.
Ensure compliance with laws, regulations and rules and the Firmâ€™s policies, procedures and standards, with a focus on Hong Kong banking, private banking and securities-related business.
Primary responsibilities include:
- Advise the PWM Business Unit on all regulatory and Firm Compliance matters
- Work closely with PWM Management on new product and business proposals
- Develop policies and procedures to facilitate compliance with laws, regulations and rules and the Firmâ€™s policies, procedures and standards and industry best practice, and monitor for compliance with these policies and procedures
- Maintain Compliance documentation including business unit manuals, Compliance Notices, rules databases, risk assessments and Compliance plans
- Conduct periodic desk, adviser and client reviews of Firm activities
- Ensure management and staff are properly registered or licensed
- Build regulatory relationships with regulators, especially the Hong Kong Monetary Authority
- Monitor for regulatory changes and communicate such to the relevant staff
- Coordinate internal, external and regulatory inspections, audits, surveys and reviews
- Deal with ad-hoc regulatory inquiries
- Provide training to both professionals and support staff of the Business and Infrastructure Units
- Develop new surveillance reports and systems with IT and PWM Management
- At least 12 yearsâ€™ of experience working in a regulatory, legal or compliance role in the banking/securities/financial services industry, with HKMA/SFC working experience being a significant advantage
- In-depth knowledge and understanding of Private Banking Business and products, regulatory and compliance matter
- Excellent verbal and written English communication skills essential, fluency in Asian languages e.g. Mandarin or Cantonese advantageous
- An analytical mind and attention to detail
- Strong interpersonal, negotiation and influencing skills, with the ability to build strong partnership with other business units and senior management