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.
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.
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.
Participate in the New Product Approval process for relevant business areas, providing compliance advice and sign off on transactions.