Compliance Shanghai, Manager

  • Competitive
  • Shanghai, Shanghai Shi, China
  • Permanent, Full time
  • Morgan Stanley
  • 26 Sep 16

See job description for details

Company Profile
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 1,200 offices in 43 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.

Department Profile
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.

Primary Responsibilities
The firm is seeking a highly self-motivated and experienced Compliance professional (Manger level) to support the China Compliance Lead with these key responsibilities:

-Support Compliance Lead in updates and implementation of rules and regulations, including policies and procedures
-Provide Compliance advice to businesses
-Perform desk reviews and Compliance checks
-Prepare regulatory summaries and Compliance reports
-Prepare Compliance training materials and provide training
-Assist in regulatory interaction and regulatory inquiries


Skills required (essential)
-Bachelor degree or above
-At least 5 years working experience in financial industry; or 3 years working experience in Compliance, preferably in a securities or asset management environment
-Strong communication skills in both English and Mandarin essential
-Attention to detail
-An analytical mind
-Quick studier
-Proactive and be able to work independently
-Team player