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
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
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