Global Financial Crimes - Anti-Corruption Group, Vice President (Hong Kong)
Morgan Stanley
Hong Kong, Hong Kong, Hong Kong, Japan Asia

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 43 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

Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm’s enterprise-wide financial crime prevention efforts.

GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm’s AML, Sanctions, Anti-Corruption, Government and Political Activities, and Anti-Tax Evasion Compliance programs.

GFC also develops and / or assists in the development of appropriate policies and procedures, including those designed to assist the business units to know their clients and conduct appropriate due diligence and to prevent, detect and report potentially suspicious activity.

GFC has dedicated coverage managers and teams of analysts who advise and counsel each business unit regarding its AML, sanctions and anti-corruption obligations and its particular clients and transactions.

Primary Responsibilities

The Compliance Officer will assist the APAC Anti-Corruption Group (ACG) Officer in representing the global anti-corruption compliance program in the APAC region, including regional implementation of global anti-corruption compliance strategy and processes.

This role may also assist the Global Head of Anti-Corruption, Political Activities and Anti-Tax Evasion Compliance in delivery of non-ACG related projects, including in relation to Anti-Tax Evasion.

Specific job responsibilities will include :

  • Assist the APAC ACG Officer in the implementation of the global anti-corruption compliance program across all business units in APAC, including :
  • Provide subject matter expertise and guidance to business units on appropriate compliance with anti-bribery and anti-corruption laws, regulations, and policies;
  • Conduct review, pre-clearance, and monitoring of third party intermediaries;
  • Review escalations concerning certain client-related expenditures, including gifts and entertainment and charitable contributions;
  • Facilitate risk-based review of anti-corruption issues associated with offers of employment;
  • Liaise with GFC Legal on anti-corruption issues and the Firm’s anti-corruption program as a whole;
  • Provide input into the annual anti-corruption risk assessment;
  • Design and supervise monitoring and testing in discussion with GFC Testing;
  • Identify and implement risk-based anti-corruption controls at Morgan Stanley’s joint ventures and portfolio investments;
  • Create and deliver targeted anti-corruption training;
  • Assist with metrics and other management information efforts;
  • Assist with the design, implementation, and maintenance of regional program enhancements;
  • Coordinate with technology partners to develop and / or maintain ACG systems and controls; and
  • Address policy violations by employees.
  • Participate in regional and global GFC projects and initiatives as needed.
  • Skills Required

  • 5 to 7 years of anti-corruption compliance, legal, or risk experience at a financial institution, law firm, or regulator
  • Highly-motivated self-starter with the ability to work independently while collaborating and coordinating as part of a global program
  • Practical working knowledge of the Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act (UKBA)
  • Experience in interpreting relevant anti-corruption laws and regulations across APAC jurisdictions
  • Strong verbal and written communication skills in English and Mandarin
  • Detail-oriented, flexible and diligent
  • Articulate, poised and comfortable in direct interaction with stakeholders at all levels of the organization
  • Skills Desired

  • Familiarity with the business operations of a large financial institution
  • Project management experience
  • Proficiency with MS Word, Excel, PowerPoint, and Access
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