Compliance HK, APAC Investment Banking, Research & Private Equity Compliance, Manager / Director recruitment

Position Category: Legal/Compliance

Position Title: Compliance HK, APAC Investment Banking, Research Private Equity Compliance, Manager / Director

Job Level: Manager

Location: Hong Kong - Hong Kong

Education Required: Refer to Position Description

Position Description:
Morgan Stanley's Private Side businesses comprise Investment Banking, Global Capital Markets, Research, Merchant Banking, Private Equity and Real Estate.

Morgan Stanley would like to appoint a dedicated Manager / Director to develop and promote the Firm's Private Side Compliance Program, ensuring that the activities in Asia are in compliance with the Firm's policies and procedures, and with all relevant rules and regulations in the jurisdictions where it operates in Asia.

Based in Hong Kong, this role will report jointly to senior management located in New York and Hong Kong.

Core responsibilities:
- Promote private side compliance awareness.
- Monitor relevant rules and regulations in the Asian jurisdictions.
- Assist with the development and implementation of compliance policies and procedures.
- Participate in the development and delivery of compliance training.
- Provide guidance to employees.
- Field questions regarding Firm compliance policies and procedures.
- Assist with internal audits and regulatory examinations.
- Participate in the development of compliance program and forensic testing plans.
- Conduct reviews to test compliance with policies and procedures and coordinate follow-up or improvements.
- Coordinate with other areas of the Legal and Compliance Division in respect of ongoing compliance policies, e.g. employee trading, disclosures of interest etc.
- Travel within Asia and Mainland China maybe required.

Skills Required:
- Degree educated.
- At least 5 years of compliance experience in financial services industry.
- Practical knowledge in financial services regulations and compliance practices across Asia and Greater China.
- Strong English communication skills (oral and written) with business-level fluency in Mandarin.
- Proactive and able to prioritize.
- Ability to work independently and under pressure.
- Analytical and detail-oriented.
- Strong relationship management skills and able to interact with senior management.