Compliance - Company Coverage, Manager/ Director (Hong Kong)
September 15, 2021
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 60,000 employees serve clients worldwide including corporations, governments and individuals from more than 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 The Compliance Department is part of the Legal and Compliance Division, and provides guidance and advice to Business Units and infrastructure and support staff at the Firm, including Sales & Trading, Research, and Investment Banking.
The Department provides advice on compliance matters including for new products and businesses and interpretation of rules and policies, develops and implements compliance policies and procedures, and provides relevant training. It also maintains the rules management and compliance risk management frameworks, undertakes testing activities and utilizes exception reports to monitor and, where appropriate, investigate Firm, customer and employee activity.
Overview The Company Compliance team within the Morgan Stanley Asia Pacific Legal and Compliance Division handles and advises on matters relating to Licensing, Management Accountability and Conduct. The team is also responsible for the Firm???s Compliance Policies, Training and Rules Management frameworks. This role will be responsible for the day-to-day performance of Licensing, Management Accountability and Conduct related tasks while reporting to the team lead and working closely with other members of the Asia Pacific Legal and Compliance team.
??? Perform day-to-day process in relation to Licensing for SFC and HKMA regulated entities Assist with Senior Manager / MIC and Conduct related tasks ??? Advise on Licensing matters in support of business initiatives ??? Work with global teams to handle licensing issues with cross jurisdictional impact ??? Work with and oversee work output of resources in Mumbai ??? Coordinate and work with regional counterparts to ensure alignment of approach in relation to the above areas