Morgan Stanley Pvt Ltd

Equity Derivatives Compliance, Vice President/ Executive Director (BB-F74A7)

Found in: Neuvoo HK

Description:
Department Profile The Compliance Department is part of the Legal and Compliance Division, and provides guidance and advice to Business Units and infrastructure and support staff at the Firm, including Sales & Trading, Research, and Investment Banking. The Department provides advice on compliance matters including for new products and businesses and interpretation of rules and policies, develops and implements compliance policies and procedures, and provides relevant training. It also maintains the rules management and compliance risk management frameworks, undertakes testing activities and utilizes exception reports to monitor and, where appropriate, investigate Firm, customer and employee activity. Position Description Based in Hong Kong and reporting to Head of Equities Derivatives Compliance, this role will provide compliance coverage primarily for Morgan Stanleys Delta One Structured Products, support the Listed and OTC Derivatives businesses as well as other areas such as Prime Brokerage and Stock Borrowing and Lending as needed. The overall goal of this role is to raise compliance standards across the Firm in these coverage areas, assist in ensuring consistency where appropriate of compliance processes and controls. Responsibilities - Advisory Provide advice on regulatory interpretation and compliance issues in the Derivatives coverage area - New business initiatives Review and lead new business and infrastructure initiatives from a local and international regulatory, best practice and Firm perspective. - Compliance policies and procedures Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary. Draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes. - Desk reviews and monitoring Provide advice to the Desk Review and Monitoring Teams to identify risk areas or lead independent reviews, and monitoring of business and supervisory practice. - Training Develop training materials and provide training to Institutional Equity Division staff - Industry contacts Lead communications with industry participants to ensure appropriateness and consistency. - Regulatory interaction Help develop and manage the Firms contact and relationship with its regulators, ensuring communications between the Firm and its regulators are open and constructive. Qualifications Requirements - University graduate or equivalent degree preferred, ideally in business, accounting or law - Minimum 8 years of relevant work experience in the financial services industry in Compliance or internal audit and/or with a securities exchange or regulator - Sound working knowledge of Delta One, Listed and OTC Derivatives - In-depth knowledge of HK regulatory and compliance requirements - Sound judgment in identifying risks in order to proactively escalate to relevant senior managers - Outstanding communication skills in English necessary to effectively interact and influence internal and external stakeholders; fluency in Asian languages (e.g. Mandarin and/or Cantonese) advantageous - Strong analytical skills, detail-oriented - Team player

calendar_today6 hours ago

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