Asia Pacific Disclosure of Interest, Manager, Hong Kong

Morgan Stanley
Hong Kong
08 Aug 2017
14 Aug 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.

Located in Hong Kong, this role will report to the Asia Pacific Head of Disclosure of Interest (“DOI”).

Primary Responsibilities

The Asia Pacific Disclosure of Interest Professional is primarily responsible for:

Disclosure Advisory
- Maintaining a comprehensive library of applicable statutes, rules and regulations related to ;

- Identifying and, as appropriate commenting on, relevant new laws and regulations related to DOI;
- Serving as a primary contact for regulators in relation to inquires of Position Accumulation;
- Providing guidance to the Business Units, Operations Group and IT through advice, policies and training;
- Providing advisory as needed, including with respect to complex issues and transactions and development and maintenance of IT systems;
- Reviewing new product approval applications, as necessary
- Assisting the Operations Group with the creation and periodic review of procedures and other related documentation;
- Ad hoc review of the accuracy of monitoring and filing procedures conducted by the Operations Group;
- Responding to position-related conflict checks, trade pre-clearance requests from the Business Units; and
- Coordinating Restricted List entries with the Control Group (Control Room).*LI-GK2



- Minimum 3 years of relevant work experience in the financial services industry in Compliance or with a securities exchange or securities regulator;
- Preference will be given to candidates with relevant experience in disclosure of interests;
- Strong analytical skills, thoughtful;
- Detail-oriented;
- Quick study;
- Team player;
- Excellent verbal and written English communication skills