Private Side and Research Compliance (Investment Management Compliance) - Vice President
Morgan Stanley
Hong Kong, Hong Kong
source : eFinancialCareers

Company Profile

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 1,200 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 Profile

  • Professionals within Legal and Compliance provide a wide range of services to our business units. 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 policies and procedures that meet regulatory requirements around the world.

    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 Teams

    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 (IBD), Global Capital Markets (GCM) 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.

    Primary Responsibilities

    We are now looking for an experienced and high caliber individual to join the Asia Pacific Private Side and Research Compliance team focusing primarily on Investment Management Private Side Compliance coverage, based in Hong Kong.

    Duties include :

    Private Side and Research Compliance :

  • Advising and supporting the Investment Management Private Side businesses on a wide range of internal and transaction-related compliance matters
  • Drafting policies and procedures, including written supervisory procedures
  • Assisting in the development of training materials and conducting training sessions
  • Identifying and advising the private side and Research businesses on new or changes to existing laws, regulations and anticipated areas of regulatory focus
  • Preparing supervisory metrics
  • Providing guidance and working closely with the Litigation and Surveillance Regulatory Inquiries teams in connection with the preparation and response to regulatory inquiries and examinations related to private side activities
  • Participating in various projects, such as new product initiatives and implementation of new regulations
  • Liaising with regional and global Legal and Compliance colleagues on matters pertaining to private side business
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