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Head of Asia Pacific Equities Compliance, Executive Director

Morgan Stanley Hong Kong
Posted 3 months ago Permanent Competitive
Head of Asia Pacific Equities Compliance, Executive Director

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 1,200 offices in more than 40 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.

Position Description

Based in Hong Kong and reporting to Head of Sales and Trading Compliance for Asia, this role will provide regional compliance coverage for Morgan Stanley's Equities business, namely Execution Services (Core and Programs Trading), Listed and OTC Derivatives, market making activities (warrants, stock options and/or ETFs), Prime Brokerage as well as Stock Borrowing and Lending. The overall goal of this role is to raise compliance standards across the Firm in these coverage areas within Asia Pacific, assist in ensuring consistency where appropriate of compliance processes and controls.

Major responsibilities are as follows:
  • Advisory - Provide advice on regulatory interpretation and compliance issues in the Equities coverage areas; develop and deliver proactive strategies that support compliance / business objectives.
  • New business initiatives - Review and lead new business and infrastructure initiatives from a local and international regulatory, best practice and Firm perspective.
  • Compliance policies and procedures - Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary. Develop and implement new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes.
  • Desk reviews and monitoring - Provide advice to the Desk Review and Monitoring Teams to identify risk areas or lead independent reviews, and monitoring of business and supervisory practice.
  • Training - Develop training materials and provide training to Institutional Equity Division staff
  • Industry contacts - Lead communications with industry participants to ensure appropriateness and consistency.
  • Regulatory interaction - Monitor regulatory developments and trends; help develop and manage the Firm's contact and relationship with its regulators, ensuring communications between the Firm and its regulators are open and constructive.
  • Regulatory reviews - Investigate and assist with regulatory inquiries, audits and examinations.
  • Global / regional coordination - Develop close working relationship with Asia Pacific country Compliance teams as well as global counterparts to ensure compliance standards and framework are aligned, and to share best practices and insights across the regions.
Job ID  3222027
ABOUT COMPANY
Hong Kong
68000 Employees Investment Banking / M & A

Morgan Stanley has earned a worldwide reputation for the excellence of its advice and execution in financial markets. With offices in more than 41 countries, the firm is truly global-and a market leader in the U.S., Europe and Asia as well as in emerging markets. Morgan Stanley's success rests on the talents and passion of our people, who share a common set of values and bring excellence and integrity to everything they do. We seek to grow long-term relationships by virtue of our consistently rigorous thinking and the unsurpassed access to financial markets that Morgan Stanley can bring. This means providing leadership in specific areas such as investment banking, debt and equity underwriting, research, and sales and trading. We also focus increasingly on creating custom-tailored solutions that cut across functions to help our clients realize new opportunities and solve complex problems. Our aim is to be the first choice of everyone who deals in financial markets, whether as prospective clients, employees or investors.

We believe our greatest asset is our people. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. Visit https://www.morganstanley.com/people to discover who we are and the right opportunity for you.

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