Equities Compliance, Manager/ Director (BB-89FBA)
Found in: Neuvoo HK
Job Level:Director Description
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 serve clients worldwide including corporations, governments and individuals from more than 747 offices in more than 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, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
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.
Based in Hong Kong and reporting to the Head of Cash Equities Compliance, this role will provide compliance assistance to Morgan Stanley’s Institutional Equity Division, covering businesses including but not limited to Cash, Program, Electronic Trading, Delta One, Derivatives, Stock Borrowing/Lending and Prime Brokerage. It is expected the Compliance individual will help raise compliance awareness and standards across the Firm in the relevant coverage areas, helping ensure consistency where appropriate of compliance processes and controls.
calendar_today4 days ago
info Full Time
location_on Hong Kong
work Morgan Stanley