- 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.
- Ensure compliance with laws, regulations and rules and the Firm’s policies, procedures and standards
- Advise the PWM Business Unit on all regulatory Compliance matters e.g. product and suitability
- Work closely with PWM Management on new business proposals.
- Develop policies and procedures to facilitate compliance with laws, regulations and rules
- Maintain Compliance documentation including business unit manuals, Compliance Notices, rules database, and Compliance plans.
- Perform daily, monthly and ad hoc surveillance of sales and trading activities.
- Conduct periodic desk reviews/audits of the firm’s activities.
- Ensure staff are properly registered and trained.
- Monitor for regulatory changes and communicate such to the relevant staff.
- Handle internal, external and regulatory inspections and audits.
- Deal with ad hoc regulatory inquiries.
- Provide training to both professionals and support staff of the Business and Infrastructure Units.
- Develop new surveillance reports and systems with IT
- Minimum 5 years’ relevant working experience in the financial services industry in Compliance or related fields or with a securities exchange or securities regulator.
- Preference will be given to candidates with solid product knowledge as well as a strong private banking and/or Hong Kong regulatory background.
- Excellent verbal and written English communication skills essential, fluency in Asian languages e.g. Mandarin or Cantonese advantageous
- Strong analytical skills, thoughtful.
- Ability to act independently and fast learner
- Good team work skills.
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