Hong Kong Trade Surveillance and Regulatory Inquiries (Manager/Associate)

Morgan Stanley
Hong Kong
28 Nov 2017
04 Dec 2017
Contract Type

Company Profile
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, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Division Profile
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 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 inquiries.

Reporting Line
The role will report into HK Head of Surveillance and Regulatory Inquiries

Primary Responsibilities

Trade Surveillance
• Review the Hong Kong Surveillance alerts and partner with the offshore Surveillance team in India;
• Conduct reviews on irregularities and abnormal activities;
• Work on Hong Kong and regional surveillance projects from original concept to final implementation;
• Maintain relationship with Compliance Coverage teams and Business Units;
• Create Management Information on a periodic basis to senior management;
• Work with IT and / or vendors in developing new tools and Surveillance models; and
• Participate in Requirements Drafting and User Acceptance Testing of new Surveillance models.

Regulatory Inquiries
• Retrieve information for regulatory inquires for Hong Kong, the PRC, Taiwan, Korea and India foreign investor businesses (i.e. QFII, Stock Connect, FINI, II, FPI);
• Work with BUs and Compliance Advisory teams in responding to the regulators, where necessary;
• Assist Litigation to conduct order/ trade data analysis;
• Continuously work with IT to ensure the Regulatory Inquiry system/ tool is up-to date and accurate.*LI-GK2


Skills required
• 3+ years of relevant working experience in the financial services industry in Compliance or Internal Audit or with a securities exchange or securities regulator;
• Excellent knowledge of equity markets and trade surveillance;
• Pragmatic and analytical problem solving skills;
• Attention to detail;
• Strong verbal and written English communication skills, with Chinese language skills advantageous.