Fixed Income Division Compliance, Vice President
Morgan Stanley
Hong Kong, Hong Kong
2天前
source : eFinancialCareers

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, which provides advice and guidance 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, complex transactions and a variety of business initiatives.

The Department provides interpretation of rules, regulations and codes, 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

This role is based in Hong Kong and reports to the Asia Pacific Fixed Income Division ("FID") Compliance Head. Headquartered in Hong Kong, AP FID operates in eight jurisdictions in the region conducting sales and trading activities in foreign exchange, interest rate, credit and commodity products.

The FID Compliance team provides advice, guidance and challenge to the AP FID business and its support staff and assists them in complying with relevant rules, regulations and codes.

This is an incremental position, working alongside four other immediate team members, to support the AP FID business as it continues to expand its footprint in the region.

Primary Responsibilities

  • Advice and Interpretation : Provide oral and written general and transactional advice to FID on interpretation an application of compliance policies and procedures, relevant rules and regulations.
  • Participate in the New Product Approval process for relevant business areas, providing compliance advice and sign off on transactions.

  • Business Engagement : Proactively engage with FID desks providing them with regulatory advice, appropriate management information and compliance support with respect to the regulatory aspects of the business they operate.
  • Implementation of New Policies and Procedures : Assist in the creation and implementation of new policies and procedures or, as appropriate, the update of existing policies and procedures in response to, or in anticipation of, relevant rule changes, new legislation, industry guidance and / or evolving business.
  • Strategic Projects and Initiatives : Participate in strategic projects and initiatives with other regional and global legal and compliance professionals relating to FID and / or the broader Institutional Securities Group businesses.
  • Training : Design and deliver training for FID on a broad array of relevant Compliance and regulatory topics.
  • Compliance Reviews : Advise the monitoring and testing team to guide their reviews of FID businesses, including risk identification, review / test check design and resolution of action items.
  • Compliance Surveillance : Work closely with the surveillance team to advise on FID trade surveillance needs and assist in handling escalation events.
  • Regulatory and Client Enquiries : Assist with enquiries from regulatory authorities and clients and liaise with legal and compliance professionals and other support areas of the Firm on these matters.
  • Regulatory Audits : Assist in the co-ordination of regulatory audits and visits and follow-up on findings as necessary.
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