Private Side Compliance - Director
Morgan Stanley · Hong Kong · 4mo ago
We’re seeking someone to join our team as a Private Side Compliance Director in Legal & Compliance to provide advisory and oversight for Investment Banking and Capital Markets activities, ensuring robust compliance with regulatory requirements and internal policies.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. This is a Director level position within the Private Side Compliance team, which is responsible for providing compliance oversight and advisory support to the Investment Banking Division (IBD) and Global Capital Markets (GCM), including policy development, regulatory engagement, and control framework governance.
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:
Advise on the application of compliance policies and evolving regulatory requirements impacting IBD and GCM activities
Partner with Legal, Risk, and business stakeholders on transaction-related and strategic matters
Draft and update policies, procedures, and compliance notices in response to regulatory and business changes
Develop training materials and deliver compliance training to business stakeholders
Review new business initiatives and infrastructure changes from regulatory and Firm perspectives
Prepare and analyze supervisory metrics and reporting
Lead and support projects to enhance internal controls and compliance frameworks
Respond to regulatory inquiries and examinations in coordination with Litigation and Regulatory Relations teams
Collaborate with regional and global Legal & Compliance teams on cross-border matters
Partner with Compliance Testing to identify risks, assess findings, and drive remediation actions
Support engagement with regulators to maintain transparent and constructive relationships
What you'll bring to the role:
Degree in Law, Business, Accounting or a related discipline
Experience in compliance within financial services, or at a regulator, exchange, or law firm
Understanding of regulatory frameworks relevant to investment banking and capital markets
Knowledge of information barriers, conflicts clearance, and Control Group functions
Sound judgment and ability to identify and escalate risks appropriately
Ability to manage multiple priorities in a fast-paced environment
Strong stakeholder management and ability to influence senior business partners
Excellent communication skills in English; additional Asian language skills (Mandarin/Cantonese) advantageous
Strong analytical capability and attention to detail
Ability to assess complex situations and make sound compliance decisions under pressure
Proficiency in Microsoft Office (Excel, PowerPoint) and ability to learn internal systems
At least 6–8 years’ relevant experience would generally be expected to find the skills required for this role
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.