Company Overview:

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.

Benefiting from the global perspective and risk management capability of Morgan Stanley, MSIM China has established a variety of mutual fund and private fund portfolios covering fixed income, active equity, quantitative equity, multi-asset and sustainable investing strategies. Our portfolios have won many prestigious awards, including Morningstar Awards and Golden Bull Awards, which is a testament to our expertise and capabilities.

Position Overview:

The 1st line Compliance Officer serves as an embedded compliance professional mainly covering Equity Investment Department, Quantitative Investment Department, Research Department and Privately offered Fund Department (“Departments”) in SZ Head office of MSIM China. This role is a vital component of the First Line of Defense (1LOD), directly assisting the Department Head in owning and managing the compliance risks inherent in our investment activities, and covering other 1LOD issues, to manage compliance/risk issues from 1L perspectives. The successful candidate will act as the primary compliance liaison within the business, driving the integration of compliance into daily operations while maintaining a constructive and independent working relationship with the Compliance Department (2LOD).

What you'll do in the role: (1LOD)

1. Compliance Monitoring & Surveillance:

• Assist department heads to supervise and manage employees’ behaviors including but not limited to personal cell phone management, personal trading/OBI, E-comms CoC, information protection, insider trading prevention, outbound trips management, remote work and other applicable code of conduct.
• Ensure that material incidents, breaches, or risks are promptly escalated to the 1st line BU risk and Chief Compliance Officer (CCO)/Compliance Department in strict accordance with laws and regulations/firm's policy.

2. Policy & Procedure Implementation:

• Assist department heads to establish and implement annual P&P building/updating plan

• Where there is new regulatory requirement or new business initiative, assist department heads to set up new policies and procedures or revisit existing ones accordingly.

• Drive and oversee the effective implementation of all firm-wide and company-wide policies and procedures within department. Identify and address gaps between policies and local business processes, developing or updating departmental working guidelines as necessary. Report on implementation status and challenges to department heads, CCO/Compliance Department.

3. Compliance Training & Culture:

• Coordinate team members to participate in Compliance training, conduct necessary self-review and testing, and report training/testing records to Compliance Department.
• Assist/Coordinate Compliance Department to deliver necessary 1st line compliance training to team members (including FTCs/outsourcing workers/interns)
• Timely track new regulatory requirements and other related information shared from Compliance. Deliver above information to team members/outsourcing workers/interns as appropriate.
• Coordinate team members to complete periodic attestation as required by Compliance (such as annual COC commitment letter and other firm-required attestation).

4. Advisory & Review:

• Provide timely, practical compliance advice to the department on day-to-day activities, leveraging a deep understanding of both regulations and business needs and making inquiry with Compliance as appropriate.
• Review new products, investment instruments, initiatives, other business proposals and provide advice from 1st line perspective. If necessary, positively initiate discussion with Compliance and other internal control functions.
• Assist department heads to manage and handle funds (including mutual funds and privately offered funds) periodical reports, mainly including four-eye review, coordination, development of standardized workflow.

5. Facilitation of Independent Reviews:

• Upon request and within a reasonable scope, facilitate independent testing, inspections, and assessments conducted by the Compliance Department, internal audit or other independent review functions/parties. This includes providing controlled access to necessary documents and personnel for interviews, while the independent execution of the review remains with the review functions.
• Assist department heads to execute remediation plans and report to review functions the stage result.

6. Portfolio Surveillance team

•  Work as the backup for portfolio surveillance team, including coding the limits in the system, perform post-trade control etc.

      7. Other BAU control work

What you’ll bring to the role:

• 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, or risk management within a financial institution or experience from reputable accounting firm or law firm.
• Strong ability to interpret regulations and translate them into actionable business requirements. Possess excellent judgment to balance business initiatives with regulatory constraints.
• Outstanding communication and interpersonal skills, with the proven ability to influence and build trust with senior business personnel and to act as an effective bridge to the 2LOD.
• Highly self-motivated, with the initiative to identify risks independently and the resilience to uphold standards within a demanding business environment.
• Fluency in English is required.

Reporting Line:

This role reports to Head of Business Control Unit. In accordance with local regulations, the professional performance is reviewed by CCO for specific compliance related activities.

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.