• Advising and supporting MSIM business on compliance matters across Asian jurisdictions and for both private and public side of investment management business activities.
• Drafting and maintaining MSIM Asia Compliance policies and procedures, and providing regional inputs on global MSIM policies as applicable.
• Developing training materials and conducting training sessions; communicating compliance/regulatory updates to the business including tracking and interpreting relevant regulatory change and implementation.
• Responding to queries on the Hong Kong regulatory framework as applicable to the investment management business (including offering of investments, OTC derivatives, licensing and business conduct, etc).
• Assisting in identifying and developing modifications on the compliance program based on new business needs and evolving regulatory landscape.
• Advising, monitoring and overseeing 1st Line of Defense.
• Providing Cross-Border Advice and Reviewing marketing materials in line with regulatory and cross-border requirements.
• Reviewing escalated trading activity in particular, the fairness and appropriateness of affiliated transactions, fair allocation and cross-trades, etc including market abuse monitoring.
• Assisting in audit, regulatory and licensing matters including compilation and submission of regulatory returns and filings (for MAS, HK SFC, US SEC), responding to ad-hoc and routine audit/ regulatory queries, onsite visits and inspections.
• Participating in various regional and global projects, such as new product / business/ instruments initiatives etc.

• A Bachelors degree in Legal, Accounting, Business or Finance
• At least 5 -8 years compliance-related experience in a financial institution and/or financial regulator, including a minimum of 2 years recent experience in the investment management industry
• Highly analytical with strong understanding of investment management industry and knowledge of regulations and rules in Asia (in particular Hong Kong)
• Detail oriented, motivated and able to multi-task in a fast paced, high pressure environment
• Exceptional written and oral communication skills
• Fluency in Chinese is advantageous

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients helping them reach their goals. We do it in a way thats differentiated and weve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - arent just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, youll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.