Job ref no.: 3145365 (CT3124638-01#3397)

Control Group – Vice President, Hong Kong

Morgan Stanley

Control Group – Vice President, Hong Kong

Job Number:


POSTING DATE: Jan 30, 2020
PRIMARY LOCATION: Non-Japan Asia-Hong Kong-Hong Kong-Hong Kong
JOB: Legal and Compliance
JOB LEVEL: Vice President


Company Profile
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.

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 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.

Primary Responsibilities
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
Research rules
  • 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
People Management
  • Lead and directly manage a medium sized team covering both functional and managerial responsibilities


Skills required
  • Minimum 5 years of work experience, preferably in Control Group compliance with a global financial services company, or with a securities exchange or securities regulator
  • Excellent verbal and written English communication skills
  • Fluency in Cantonese and Mandarin advantageous.
  • Proactive, with ability to work independently
  • Ability to work within tight deadlines and under pressure
  • Effective interaction with colleagues and external parties at all levels
  • Experience managing a medium-sized team
  • A practical and analytical mind
  • Attention to detail
  • Capacity to “think on your feet" and make a sound judgment
  • Quick study
  • Position title and remuneration will be commensurate with the successful candidate’s experience and qualifications

Interested parties please send your full resume to us by clicking Apply Now.

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More job information
Job ref no. 3145365 (CT3124638-01#3397)
Job Function
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Middle management level
  • N/A