Compliance - Deputy Head of Control Group, Vice President/ Executive Director (Hong Kong)
Morgan Stanley
Hong Kong, Hong Kong, Hong Kong, Japan Asia


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.Department ProfileThe Compliance Department 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 general transactional guidance and advice, develops and implements compliance policies as required, and provides relevant training.

It also undertakes surveillance activities and utilizes exception reports to monitor and, where appropriate, investigate Firm, customer and employee trading activity.

  • The Department is also called upon to render advice on legal requirements; the rules and regulations of SROs, exchanges, and other bodies;
  • and Firm policies and procedures.Background on the TeamsThe Control Group in the Compliance Department is responsible for various aspects of the maintenance of the Firm's Information Barriers, including the Firm’s Watch and Restricted Lists, review of research reports for legal conflicts, pre-clearance of certain activities, trade surveillance and general advice on a wide range of issues.

    The Control Group is divided into two coverage groups - Investment Banking & Research and Sales & Trading. The Private Side and Research Compliance group advises on and assists in establishing, implementing and enforcing compliance policies and procedures.

    The Firm’s private side businesses comprise of Investment Banking Division, Global Capital Markets and Investment Management private side funds including Private Equity, Real Estate and Infrastructure funds.

  • The group is responsible for providing compliance oversight of the Firm’s private side and Research businesses; providing advisory support;
  • drafting and updating policies and procedures; and training personnel, among other activities. We are now looking for a high caliber individual with both Control Group and / or Private Side and Research Compliance experience for the role of Deputy Head of the Asia Pacific Control Group based in Hong Kong.

    Primary ResponsibilitiesBased in Hong Kong, the Deputy Head of APAC Control Group will report regionally to the APAC Head of Information Controls (based in Hong Kong).

    The candidate will provide leadership and direction to the APAC Control Group, work closely with the Private Side and Research Compliance team, and will have responsibility for supervising local Control Group coverage matters, including : a.

    Maintenance of Information BarriersEnsure compliance with policies and procedures designed to prevent conflicts of interest and to ensure the integrity of the Firm’s information barriers.

    The Control Group tracks situations where the Firm is in receipt of material non-public information, such as pending transactions that the Firm's investment banking department is advising on and maintains the Watch List and Restricted List.

    b. Monitoring ActivitiesManage the Sales & Trading coverage team which is tasked with the Control Group related monitoring activities (i.

    e., Watch List, front-running and Restricted List surveillance), to identify and escalate potential issues, and to conduct relevant supervisory reviews.

    c. Advice and InterpretationProvide advice and interpretation of Morgan Stanley’s policies and regulatory requirements, particularly relating to Restricted List, communications between Research and Sales & Trading, personal account dealing, and working with internal lawyers and other compliance teams as required.

    Working with the Private Side and Research compliance team in advising and supporting the private side and Research businesses on a wide range of internal and transaction-related compliance matters including participating in various projects, such as new product initiatives and implementation of new regulations and assisting on regulatory inquiries.

  • d. OtherPerform Takeover Code reporting arising from announced transactions in which the Firm is involved; participate in audits and Annual Compliance Review as required;
  • participate in regional and global system and IT development projects aimed at enhancing the Control Group’s surveillance program;
  • update existing procedures and develop new policies on an ongoing basis; participate in training to business units; and liaise with business risk management teams and others in global compliance teams as required.

    Primary ContactsDue to the diverse and widespread nature of the team’s role, the team members are in close constant contact with staff from Compliance, Legal and the business units.

    Interaction can often be with very senior members of staff. The Firm runs a Global Control Group and there is regular contact with staff in London and New York.


  • University graduate or equivalent degree preferred, ideally in business, accounting or law
  • Minimum 10 years of relevant work experience in the financial services industry in Compliance or internal audit and / or with a securities exchange or regulator
  • Familiarity with general Asia, UK and US compliance issues and relevant laws and regulations e.g., HK and Singapore Takeover Codes, HK Securities and Futures Ordinance, US Securities Exchange Act, and the UK Financial Services Act 2012.
  • Experience in handling insider dealing, information barrier, and market manipulation issues; sound knowledge of applicable laws and regulations

  • Sound knowledge of Investment Banking, Research, and equity and fixed income products required
  • Strong analytical and numerical skills
  • Strong leadership skills and regional management experience
  • Ability to remain focused under pressure
  • Detail-oriented and ability to perform multiple tasks simultaneously
  • Outstanding communication skills in English necessary; fluency in Asian languages (e.g. Mandarin and / or Cantonese) advantageous
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