Compliance HK, Asia Pacific Control Group, Analyst / Associate
Position Category: Legal/Compliance
Position Title: Compliance HK, Asia Pacific Control Group, Analyst / Associate
Job Level: Analyst/Associate
Location: Hong Kong - Hong Kong
Education Required: Refer to Position Description
Position Description:
Within Morgan Stanley, the Control Group in the Compliance Department is focused on maintaining the Chinese Wall and implementing Compliance policies and procedures for research and investment banking. The Control Group would utilize global policies, procedures and databases to provide seamless coverage for the Firm and conduct surveillance functions on Employees and Firm's trading activities to identify any potential insider trading. Globally there are four Control Group locations including New York, London, Hong Kong and Tokyo. Within each Control Group there are (i) Sales and Trading and (ii) Investment Banking and Research coverage teams.
Based in HK, the Asia Pacific Control Group is looking for an Analyst / Associate within Sales and Trading coverage team with these primary responsibilities:
1. Maintenance of the Firm's Information Barrier (Chinese Wall)
- Maintain the Watch List and the Restricted List (which also entails communications with Investment Banking Department for updates).
2. Advisory
- Provide guidance to Sales and Trading regarding restrictions on trading activities.
3. Surveillance
- Review surveillance for potential insider trading, front running and breaks of the Chinese Wall by the Firm and by employees.
- Review surveillance for breaks of the Firm's Watch and Restricted List policies.
Skills Required:
- 1-3 years of relevant work experience in Compliance preferably with a global financial services company or with a securities exchange or securities regulator.
- Excellent verbal and written English communication skills.
- Proactive, with ability to work independently and also as part of a team.
- Ability to work within tight deadlines and under pressure.
- Effective interaction with colleagues and external parties at all levels.
- A practical and analytical mind.
- Attention to detail.
- Capacity to "think on your feet" and make a sound judgment.
- Quick study.
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