Job ref no.: CT3114388-01#5909

Legal - Private Wealth Management Coverage Lawyer, Executive Director (Hong Kong)

Morgan Stanley

We are looking to hire a Head of Legal for Private Wealth Management (PWM) in Asia Pacific. The role, based in Hong Kong, will be at Executive Director level. The successful candidate will, amongst other things, manage an existing team of three PWM coverage lawyers and provide internal client coverage for a dynamic PWM business within Asia Pacific.
Reporting directly to the Head of Legal for Sales & Trading Asia Pacific, we are looking for candidates with management experience, enthusiasm and strong initiative, who can manage a diverse and complex workload meeting tight deadlines with responsibility for the following:

Primary Responsibilities

  • Managing an existing team of PWM coverage lawyers
  • Working closely with the senior management of PWM (and Sales and Trading, where necessary) and provide timely, responsive and quality legal and regulatory advice and guidance to enable business development and solutions within a culture of legal and regulatory compliance
  • Collaborating with other functional groups within PWM and across the Firm to deliver a robust compliance and risk management framework, including the identification of material legal and regulatory risks relevant to the business, providing advice on suitability, the establishment and maintenance of effective processes, policies and procedures, franchise protection and sound management of conflicts of interest
  • Together with the PWM Legal team, providing legal advice and support to PWM investment professionals on all aspects of the client relationship, negotiation of account documentation and investment restrictions, transaction-specific questions, margin and risk management processes and new products (including but not limited to structured products, OTC derivatives, funds and banking products)
  • Providing legal advice on PWM legal entity and corporate governance related issues, collaborating with country coverage (including Legal and Compliance colleagues in the UK and US), Company Secretariat and other functional groups as and when necessary
  • Advising senior PWM management on regulatory changes, industry initiatives and policy developments; responding to regulatory inquiries and initiatives; participating on private bank industry working groups
  • Collaborating with other Legal and Compliance coverage areas such as Sales and Trading, Capital Markets, Litigation, Employment and country coverage lawyers as and when necessary
  • Advising on cross border regulatory issues
  • Managing outside counsel
  • Lawyer with minimum 10+ years post qualification experience - In-house legal advisory and coverage experience in private banking / sales and trading /credit lending or structured finance with a leading investment bank or private bank
  • Experience managing a team
  • Product experience (sales and trading, derivatives, funds, credit lending/structured finance)
  • Thorough knowledge of laws and regulations applicable to private banking and financial services
  • Solid drafting and negotiation skills
  • Effective interpersonal and communication skills
  • Strong English communication skills necessary. Fluency in Chinese (verbal and written Cantonese and Mandarin) with the ability to write in simplified and traditional Chinese a distinct advantage

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More job information
Job ref no. CT3114388-01#5909
  • N/A
Job Function
  • 0 year - 5 years
Career Level
  • Non-management level
  • Asso. Deg or High Dip
  • Degree