Compliance HK, APAC Private Side / Investment Research / Merchant Banking Compliance, Director recruitment

Position Category: Legal/Compliance

Position Title: Compliance HK, APAC Private Side / Investment Research / Merchant Banking Compliance, Director

Job Level: Director

Location: Hong Kong - Hong Kong

Education Required: Refer to Position Description

Position Description:
Morgan Stanley's private side businesses consist of Research, Merchant Banking (Private Equity, Real Estate and Direct Investment Funds), Investment Banking and Global Capital Markets.

Morgan Stanley would like to appoint a dedicated 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 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.
- Compliance experience in Investment Research as well as Private Equity, Real Estate and Direct Investment Funds highly advantageous.
- Practical knowledge in financial services regulations and compliance practices across Asia and Greater China.
- Excellent English communication skills (oral and written) essential, with business-level fluency in Mandarin an advantage.
- Excellent presentation and relationship management skills.
- Proactive and able to prioritize.
- Able to work independently and under pressure.
- Analytical and detail-oriented.
- Candidates with more experience will be considered at Vice President level while those with less experience may be considered at Manager level.