Company Overview:

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.Morgan Stanley Investment Management China (MSIM China) strives to provide diverse investment management services to a full spectrum of clients across both individual and institutional investors. Established as a joint venture in 2008, MSIM China became fully owned by Morgan Stanley Investment Management in 2023.

Position Overview:

This position will sit in Compliance Department in SZ office of MSIM China, serving as 2L Compliance officer. This role is expected to work closely with control functions (LCD/Risk) and business functions (1L), as well as regional/global teams, engaging in compliance management activities (compliance advisory/review/monitoring/training/testing/reporting) to continuously keep the business activities to be conducted under the compliance framework to avoid risks due to breach of regulatory requirements as well as Firm Standard.

What you'll do:

• Licensing:

This role will perform personnel licensing management tasks to ensure the employees obtain and maintain appropriate licenses for supporting them conduct professional activities. The licensing management includes but is not limited to policy and procedure building, qualification review, regulatory registration/filing, ongoing training coordination, regulatory reporting, information disclosure and other related tasks. During this process, this role will work together with various functions and regional licensing compliance team.  

• Information disclosure:

To fulfill local obligations to make sure the accuracy, completeness and timeliness of fund information disclosure, this role is expected to review the proposed fund information disclosure documents (ad-hoc/regular fund reports, fund prospectus and key fact sheets）, work together with Tech team to continuously explore the work automation by leveraging Tech resources, provide advice/interpretation on regulatory requirements, provide compliance input and review, manage disclosure-related liaison activities.

• Compliance monitoring, surveillance and testing:

This role will deeply participate in compliance monitoring, surveillance and testing projects, acting as an independent challenge function, support BU to identify internal control deficiencies, take remediations and make improvements. This role will lead or participate in projects of personal trading/OBI and instant messaging tool management.

Also, the role will collaborate with regional compliance team to co-conduct some of compliance testing projects as planned.

• Policy & Procedure building and integration:

This role will help enhance compliance policies and procedures in terms of conflict-of-interest avoidance, personal trading/OBI, employee code of conduct etc.

This role will guide or help other functions to establish new policies and procedures or revisit existing ones accordingly where there is new regulatory requirement or new business initiative from 2L perspective.

This role is expected to help revisit the current Compliance policies and procedures against Firm Standard from time to time; and make necessary localization to ensure the implementation of the Firm Standard.

• Compliance Training & Culture:

This role is expected to contribute to compliance culture construction by delivering compliance training, circulating compliance notice/reminder as assigned.

Also, this role will collaborate with regional/global compliance teams to develop compliance training programs for all employees by fully leveraging regional/global training platforms and resources.

• Compliance Advisory & Review:

This role will contribute to reviewing on new products, investment instruments, business initiatives, marketing and sales materials etc.

This role will contribute to providing advice to BU.

• Ongoing integration:

This role will participate in ongoing Compliance Integration projects, which aim to leverage best practice from the Firm, integrate MSIM China into wider MSIM group, continuously support local team to strengthen internal control and streamline the process.

• Other BAU work:

Regular/ad-hoc compliance related reports and translation.

Other tasks as assigned from time to time.

What you’ll bring:

• Bachelor's or above degree in Law, Finance, Economics, or a related field. A relevant professional qualification (e.g., PRC BAR, CPA, CFA, FRM, or equivalent compliance certification) is preferred.
• Minimum of 5 years of experience in compliance, internal audit, risk management, operation within a financial institution or experience from reputable accounting firm or law firm.
• Strong willingness and capabilities in teamwork and collaboration. High sense of responsibility.
• Good capacities of issue-resolving and being open minded.
• Highly self-motivated, with the initiative to do the right thing persistently.
• Outstanding communication and interpersonal skills, with the proven ability to influence and build trust with people/teams with different backgrounds.
• Fluency in English is required.

Reporting Line:

This role directly reports to Head of Compliance Department, under oversight and performance review of MSIM China CCO.

What you can expect from Morgan Stanley:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years.  Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background.  Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo