Morgan Stanley -Hong Kong
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 747 offices in 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, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Professionals within the Legal and Compliance Division provide a wide range of services to our internal and external stakeholders. 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 a Legal and Compliance framework that meets regulatory requirements. 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
Morgan Stanley Compliance is looking for a Surveillance and Regulatory Inquiries professional for Hong Kong within the Legal and Compliance Division. This role will help implement the strategy for APAC Surveillance in Hong Kong, working closely with Compliance product and country coverage teams, global Compliance practice leads, local business lines, and support functions (including IT and Operations). Additionally, the role will be responsible for responding to regulatory and exchange inquiries.
The role will report into HK Head of Surveillance and Regulatory Inquiries.
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