Posted on 2021-10-08

Compliance - Research Coverage, Vice President (Hong Kong)

Morgan Stanley

DESCRIPTION
 
 
Department Profile

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 Teams

Research Compliance advises on and assists in establishing, implementing and enforcing compliance policies and procedures and forms part of the Private Side and Research Compliance team. The group is responsible for providing compliance oversight of the Firm’s private side and Research businesses; providing advisory support; drafting and updating policies and procedures; and training personnel, among other activities.

Primary Responsibilities


We are now looking for an experienced and high caliber individual as primary compliance coverage officer for Research, based in Hong Kong.

Duties include:

  • Advising and supporting the Research department on the application of Research policies and procedures and Research related laws and regulations
  • Working closely with the private side compliance coverage team to advise on a wide range of internal and transaction-related Research and private side compliance matters
  • Drafting policies and procedures, including written supervisory procedures
  • Assisting in the development of training materials and conducting training sessions
  • Identifying and advising the Research department on new or changes to existing laws, regulations and anticipated areas of regulatory focus
  • Preparing supervisory metrics
  • Providing guidance and working closely with the Litigation and Surveillance Regulatory Inquiries teams in connection with the preparation and response to regulatory inquiries and examinations related to Research activities
  • Participating in various projects, such as new product initiatives and implementation of new regulations
  • Liaising with regional and global Legal and Compliance colleagues on matters pertaining to Research and private side business

QUALIFICATIONS

  • Bachelor’s Degree (a Law Degree or Accounting qualifications a distinct advantage)
  • Minimum 3 years of relevant working experience with a global financial service company preferably in Law, Compliance or Risk and Controls functions
  • Self-starter who is able to deal with bankers in the business
  • Ability to work as a team player, as well as independently
  • Solid understanding of relevant industry and regional regulations and rules, pre-marketing, information barriers, conflict clearance process and an understanding of the Control Group function
  • Proficient skills using Microsoft Office systems, especially PowerPoint and Excel, required. Knowledge and use of these systems are required in order to learn other Firm proprietary compliance systems
  • Detail oriented, motivated and able to multi-task in a fast paced environment
  • Exceptional written and oral communication skills required

Interested parties please click Apply Now to apply job.

 

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More job information
Salary
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 8 years
Career Level
  • Senior management level
Education
  • Degree