Compliance officer, Executive Director, Shanghai or Beijng Compliance officer, Executive Director, Shanghai  …

Morgan Stanley
in Beijing, Beijing Shi, China
Permanent, Full time
Last application, 22 Mar 20
Morgan Stanley
in Beijing, Beijing Shi, China
Permanent, Full time
Last application, 22 Mar 20
See job description for details


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 based on integrity, excellence and giving back. 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.


China Compliance team is responsible for the overall compliance framework for all MS platform/business activities in China including securities, banking, asset management, private equities and offshore businesses. The businesses are currently operated under various platform including securities JV, fund JV, QFII, Stock Connect program, Bank subsidiary, and wholly owned foreign enterprises (WOFEs). The Compliance team is responsible on advisory, regulatory interaction, training, monitoring and surveillance, policies and procedures, oversight and leadership. The Compliance officer will be reporting to Morgan Stanley’s China Compliance Head.


- Advisory. Advise senior management and employees on Compliance policies and regulatory requirements for all business activities.

- Communication and escalation. Maintain strong working relationships with senior management and stakeholders to ensure they are well informed on regulatory changes or business issues.

- Compliance oversight. Ensure China compliance framework is in line with regulatory and Morgan Stanley standards, including adequate policies and procedures, training and identification of risk areas to conduct independent compliance reviews and monitoring.

- Regulatory interaction. Manage relationships with regulators across China such as CSRC, PBOC and SAC, and ensure communications with the regulators are open and constructive.

- Regulatory inspection/inquiries. Coordinate regulatory inspections/inquiries and act as key liaison person.

- New business initiatives. Review new business initiatives from regulatory, best practice and Firm perspective and advise stakeholders on the implementation.

- Compliance projects and coordination. Assist Morgan Stanley China Compliance Head in compliance projects/initiatives and coordinate with Compliance teams under the respective MS regulated entities to ensure consistency. Also to coordinate with regional team to ensure MS standard is adopted.

- Leadership. Coach junior team members on the day-to-day Compliance work.

- Licensing and registration. Ensure business and personnel activities are operated within the licensed scope and with proper registration.



- In-depth knowledge of securities regulatory and compliance requirements in China

- At least 10 years of relevant experience in securities or asset management industry with a substantial on-shore business experience in China

-Attention to details and solution oriented.

- Effective written and oral communication skills in both English and Mandarin

- In-depth knowledge in equities or asset management business is required. SAC license holder is preferred

- Strong interpersonal skills with internal business units and relationship with regulators/Exchanges will be an advantage.