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 1,200 offices in 43 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 Team
Within Morgan Stanley, the Control Group in the Compliance Department is focused on maintaining the Information Barriers 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 Hong Kong, the Asia Pacific Control Group is looking for a professional to join their Investment Banking and Research coverage. As a Manager, this role will report directly to Regional Head of Asia Control Group with these primary responsibilities:
Perform audit review on existing policies and procedures to ensure they have been strictly followed by employees within Investment Banking department and Research department, and to assess their effectiveness and needs for improvement
Review all pending Research materials against Watch and Restricted Lists
Identify perceived and real conflicts arising from business activities within Investment Banking and Research and work with management as well as internal and/or external counsel for resolution
Provide guidance to the Investment Banking department and Research department regarding restrictions on research and trading activities
Chaperone and gate-keep permissible communications between Investment Banking department and Research department under the Global Research Settlement and relevant internal policies and procedures
Handle enquiries from Investment Banking department and Research department in relation to Research rules
Lead and directly manage a medium sized team covering both functional and managerial responsibilities