About the role:
We’re seeking someone to join our team as a VP to China Country Compliance Team.
China Compliance team is responsible for the overall compliance framework for all MS platform/business activities in China including securities, futures, banking, asset management, private equities and offshore businesses. The businesses are currently operated under various platforms including MS Securities China, MS Futures China, MS Bank China, MS Investment Management China, QFI & Stock Connect program, and wholly owned foreign enterprises (WOFEs). The Compliance team is responsible for advisory, regulatory interaction, training, monitoring and surveillance, policies and procedures and oversight. The Compliance officer will be reporting to Morgan Stanley’s China Compliance Head.
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.
What you’ll do in the role:
- 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 is timely and accurately reported.
- 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.
What you’ll bring to the role:
- Solid knowledge of securities regulatory and compliance requirements in China.
- Over 10 years of financial industry working experiences, where there are at least 3-5 years of relevant experience in securities industry, and/or assets management areas with a substantial onshore business experience in China.
- Effective written and oral communication skills in both English and Mandarin.
- Attention to details, quick learner and solution oriented.
- Financial industrial practitioner license is preferred.
- Strong interpersonal and communication skills.
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 visit https://www.morganstanley.com/about-us/global-offices.
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.