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 in 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 based on integrity, excellence and giving back. 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.

Morgan Stanley Futures (China) Limited (MSFC) Compliance team is responsible for the overall Compliance framework for MSFC’s futures business activities in China. The Compliance team is responsible on advisory, regulatory interaction, training, monitoring and surveillance, policies and procedures, oversight and leadership. 

Job Responsibilities: 

• Advisory. Advise employees on Compliance policies and regulatory requirements for all business activities.
• Regulatory development and Compliance framework. Ensure the regulatory changes and development are closely monitored and provide timely updates to the Compliance manager and respective stakeholders.  Ensure the framework is in line with regulatory and Morgan Stanley standards, including adequate policies and procedures, training and identification of risk areas to conduct independent compliance testing and monitoring.
• Communication and escalation.  Ensure timely monitor and updates on business/regulatory issues to Compliance manager and stakeholders.
• Regulatory reporting & interaction. Ensure regulatory reporting are timely and accurately reported.  Maintain good rapport with regulators.
• Regulatory inspection/inquiries. Coordinate regulatory inspections/inquiries and may act as key liaison person.
• New business initiatives. Review new business initiatives from regulatory, best practice and Firm perspective and advise stakeholders on the implementation.
• Compliance projects and coordination. Assist Compliance Manager on Compliance projects/initiatives and coordinate with country/regional Compliance teams to ensure consistency.  Also to coordinate with regional team to ensure MS standard is adopted.
• Licensing and registration.  Ensure business and personnel activities are operated within the licensed scope and with proper registration.

Job Requirements:

• Solid knowledge in futures business and regulatory requirements in China.
• At least 6 years of relevant experiences in futures or securities industry, including but without limitation to futures company, securities company, etc.
• Attention to details, quick learner and solution oriented.
• Effective written and oral communication skills in both English and Mandarin.
• China Futures Association (CFA) futures practitioner license is preferred.
• Strong interpersonal and communication skills.