Compliance - Hong Kong Infrastructure, Vice President (Hong Kong)
About the Job
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 42 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
Background on the Position
The Infrastructure Compliance function is responsible for addressing compliance issues relevant to Morgan Stanley’s infrastructure teams, primarily Operations and Technology. This role will provide support to the Executive Director overseeing Infrastructure Compliance in Asia Pacific and will entail working closely with other Legal and Compliance professionals and members of the infrastructure teams.
• Monitoring and tracking new rules and regulations impacting infrastructure areas
• Working with infrastructure areas on implementation of new rules and regulations
• Providing compliance advice for topics potentially including Regulatory Reporting, Client Assets, Statements and Confirms, Product Data, Client Categorization, Margins and Collateral
• Understanding and resolving compliance related issues in the infrastructure areas
• Supporting the Firm’s new business initiatives and ensuring that relevant regulations are identified and met by the respective infrastructure teams
• Reporting on infrastructure compliance related topics to local and global management