Company ProfileMorgan 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 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, achieve and grow.
A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.Division ProfileProfessionals within the Legal and Compliance Division provide a wide range of services to our internal and external stakeholders.
They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute.
They preserve the Firm’s invaluable reputation for integrity and protect the Firm from sanctions with a Legal and Compliance framework that meets regulatory requirements.
They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm’s businesses.
Background on the PositionMorgan Stanley Compliance is looking for a Surveillance and Regulatory Inquiries professional for Hong Kong within the Legal and Compliance Division.
The market surveillance team is responsible for monitoring trading in equity, derivatives, and fixed income products across the APAC region to detect trading activity that could adversely affect the firm and its reputation.
They work closely with experienced staff and develop the capacity to conduct high quality routine surveillance with minimal supervision.
They also work with Compliance product and country coverage teams, global Compliance practice leads, local business lines, support functions (including IT and Operations) and other stakeholders to identify business changes and regulatory developments that warrant updating existing or developing new surveillance patterns to ensure the Firm has comprehensive coverage.
Additionally, the role will be responsible for responding to regulatory inquiries.Reporting LineThe role will report into APAC Head of Surveillance and Regulatory InquiriesPrimary ResponsibilitiesTrade Surveillance