Asia Investment Management Legal Counsel – Traditional Asset Management, Executive Director
Morgan Stanley
Hong Kong, Hong Kong, Hong Kong


Morgan Stanley is a global financial services firm and a market leader in Institutional Securities, Wealth Management and Investment Management.

The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 747 offices in 42 countries.

People are the source of our competitive advantage and our franchise is built upon dedicated and talented professionals who consistently set industry standards for integrity, expertise and leadership.

Morgan Stanley’s highly regarded Legal & Compliance Department helps preserve the Firm’s invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world while maintaining cooperative relationships with governmental policy makers and the regulatory and self-

regulatory agencies that govern the Firm’s businesses. Within the Firm, Investment Management consists of our asset management which leverages the Firm’s name and global network of relationships to create opportunities that deliver superior returns for our investors.

The Investment Management business covers traditional asset management, private equity, infrastructure, alternative investments and real estate.

  • Primarily responsible for supporting Investment Management legal activities in all Asian jurisdictions; in particular Hong Kong, Korea, China, Taiwan, Singapore, Australia, and India.
  • Providing legal, regulatory, transactional advice and support to the Investment Management businesses in Asia covering all aspects of the investment management industry with the added complexity of multi-jurisdictional coverage area.
  • Advice to Asia investment management team on aspects of portfolio management and trading issues, investment and delegation model issues at portfolio guideline level, and brokerage documentations.
  • vAdvice to Asia distribution team on all aspects of sales and account take on activities including conduct of sales and marketing practice, cross-
  • border activities, product registration and maintenance, institutional separate accounts take on, drafting and negotiating investment management agreements, negotiating strategic partnership arrangements with institutional clients.

  • Advising on all aspects of legal work relating to the Luxembourg SICAV fund range registered in Hong Kong, Singapore, Korea and Taiwan;
  • and working with various local counsels in Asia and Luxembourg, the EMEA legal and compliance teams, and liaising with Asian regulators.

  • Advice to business management in formulating market entry strategy in Asia via greenfields and lift out of portfolio management teams
  • Advising on establishing Investment Management offices in various locations; and also providing ongoing analysis on realigning the investment management licensing framework against the Investment Management evolving business strategy.
  • Advice on general corporate and commercial matters
  • Drafting, negotiating documentation and execution support in respect of transactions that Investment Management has been engaging in as part of Morgan Stanley's overall growth and entry strategy in the Asia Pacific region;
  • and (ii) Investment Management has been engaging in as part of its fund management activities in the Asia Pacific region.

  • Providing strategic direction to compliance on matters relating to compliance manual and internal policies development, investment guidelines compliance, selling practices, licensing matters, conflict management, regulatory inspections and investigations, reviewing compliance implementation plans and monitoring systems and FCPA
  • Interact with internal stakeholders in the investment management businesses, such as Tax, Legal and Compliance, Finance and Firm Management across Asia.
  • Instruct external counsels across Asia (ex Japan) and review key legal opinions.
  • Qualifications

  • Lawyer with at least 8 years post qualification coupled with asset / fund management experience from either a well-regarded private practice or an in-
  • house role with a leading investment bank.

  • Familiarity with Asia regulatory issues highly advantageous
  • Strong technical knowledge of investment management businesses required
  • Solid drafting and negotiation skills
  • Personable and confident, with the ability to identify and resolve disputes in a fast-paced corporate environment while adhering to Firm policies and practices
  • Excellent oral and written communication skills in English essential
  • Position title and remuneration will be commensurate with the successful candidate’s experience and qualifications
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