Operations Risk & Regulatory Control , Disclosure of Interest, Associate
Morgan Stanley
Hong Kong, Hong Kong, Hong Kong


The Operations Risk & Regulatory Control (ORRC) Division is a global team responsible for Control (Balance Sheet Control, Credit & Market Risk, and Policies & Procedures), Regulatory Reporting (Disclosure of Interest, Client Money, and Transaction Reporting), Risk (Client Confidentiality, Operational Risk, and BCP) and CTB Projects.

The Division has over 300 team members across the Firm, with the majority residing in Baltimore, Glasgow and Mumbai as well as with Vendors in Chennai.

  • We currently have an opportunity within the ORRC Disclosures of Interest (DOI) team in Hong Kong, a team that is focused on fulfilling regulatory requirements including;
  • Short Position Monitoring and disclosure, Substantial Shareholder position monitoring and disclosure, Takeover Panel Reporting and disclosures as well as multiple other oversight functions to ensure Morgan Stanley is meeting reporting and disclosing in line with Regulations.

    This role is a business critical control role required to provide coverage across all DOI functions and regulatory reporting obligations, as well as to reduce the risk of regulatory breeches across the full suite of DOI functions.

    The individual will have diverse responsibilities, including but not limited to :

  • Monitoring of various exceptions to highlight potential disclosure obligations across Asia Pacific markets.
  • Working to tight daily deadlines
  • Building a detailed understanding of each exception type, allowing accurate filings to made to the regulator
  • Building knowledge of security transactions and various product types.
  • Acquiring an intricate knowledge of firm systems, data sources and processes, building the ability to question data integrity.
  • Close communication with dedicated compliance team.
  • Identification and implementation of process improvements
  • Qualifications

  • Strong academic background
  • Strong attention to detail
  • Proficient in Excel (e.g. formulas, pivot tables) and other windows-based software (e.g. Word, Power Point)
  • Strong analytical, organizational and documentation skills
  • Excellent verbal and written communication abilities
  • Exhibit a strong sense of urgency, accountability and ownership
  • Highly motivated self-starter with multi-tasking abilities
  • Team-player
  • Ability to prioritize functions and tasks
  • Has the ability to absorb information and learns quickly
  • Ability to work under high work pressure
  • Innovative and creative ? challenges the existing processes and status quo.
  • Focus on guardianship, ensuring that issues are identified, escalated, resolved and reported on a timely basis
  • Excellent inter-personal skills
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