Legal and Compliance HK, Core Compliance Surveillance Professional, Manager/Director

Responsibilities

I. Surveillance Review
- Review and analyze surveillance reports and vendor surveillance system alerts, and complete relevant checklists;
- Conduct investigations on irregularities and abnormal activities and document findings; and
- Escalate unresolved issues or potential violations of the Morgan Stanley’s policies or external rules and regulations to his/her Manager, Coverage Compliance and Senior Management of Business Units.

II. Surveillance Models Development
- Work with IT and/or vendors in developing new surveillance models;
- Participate in User Acceptance Testing of new models/reports;
- Monitor development in regulatory requirements and adjust surveillance models accordingly;
- Assess adequacy and effectiveness of surveillance and enhance existing surveillance models; and
- Document detailed surveillance steps in surveillance procedures manuals.

III. Regulatory Inquiry
- Retrieving information for regulatory inquires for Hong Kong, Taiwan and India offshore businesses; and
- Work with Business Units in response to the regulators where necessary.
Requirements

- Minimum 3-5 years’ relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;
- Preference will be given to candidates with relevant experience in surveillance for institutional equities and fixed income businesses;
- Knowledge of trade booking and settlements for Asia Pacific markets is helpful;
- Strong analytical skills, thoughtful;
- Detail-oriented;
- Quick study;
- Team player; and
- Excellent verbal and written English communication skills.