Global Financial Crimes - Institutional Securities Group Coverage, Manager/ Director (Hong Kong)
May 8, 2019
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 from more than 747 offices 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 rooted in integrity, excellence and strong team ethic. 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.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Background on the Team
Morgan Stanley's Global Financial Crimes (GFC) Group, an integral part of the global Legal and Compliance Division, is charged with day-to-day oversight and coordination of the AML and Sanctions Program covering all of the Firm's various businesses globally, including Institutional Securities (Investment Banking, Capital Markets, Equities, Fixed Income) and Investment Management.
Headquartered in Hong Kong, the APAC GFC Group also includes dedicated personnel in Singapore, Sydney, Tokyo and Zhuhai.
The Firm is currently seeking a driven and seasoned professional to cover the Institutional Securities Group (ISG). This role is based in Hong Kong.
- Advise on, and resolve, potential AML issues and internal client enquiries arising across business units covered by the Asia Pacific Financial Crimes Group including advising on AML compliance in China;
- Assess the Financial Crime risk associated with potential and existing high-risk clients via the EDD process;
- Provide implementation coverage for the Firm's AML/CFT program in support of global deliverables and regional priorities;
- Assist the regional Head of APAC GFC to drive implementation of programs through analysis, prioritization of implementation phases based on system dependencies, risk based analysis and regulatory considerations.
- Bachelor's degree
- At least 5 years of relevant experience in AML Compliance or regulatory compliance work, preferably in a securities environment or audit consulting capacity with some knowledge of the China regulatory environment
- An analytical mindset with attention to detail
- Strong oral and written communication skills in English and Mandarin
- Ability to independently interact with senior business management
- Strong team player and ability to operate in an international environment
Internal Number: 5844994
About Morgan Stanley
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