Director - Compliance Monitoring and Testing - Morgan Stanley - Hong Kong

Job Level
The role is at Director/VP level and is based in Asia-Pacific. The successful candidate will report to the Asia Compliance Monitoring and Testing Head.

Overview of Role

Asia-Pacific Compliance seeks a candidate for a Professional position in the Asia-Pacific Monitoring and Testing Team. The successful candidate will actively assist in several areas of responsibility:

- Running the Compliance Risk Assessment framework
- Carrying out in-depth Compliance reviews

Running the Risk Assessment framework will involve:

Coordinating the application of the risk assessment process in Asia-Pacific and collating and presenting risk assessment results
Determining appropriate actions to match the results and ensuring these are carried out
Participating in annual planning of in-depth reviews.

Carrying out In-depth Compliance reviews will involve:

Analysis of regulations and internal rules for each review topic
Identification key controls for each review topic
Creation of test strategies to verify controls and confirm compliance with applicable rules and policies
Interviews with business employees responsible for a particular area and review of working materials, to test controls
Detailed documentation of review work-papers
Identification of areas requiring attention and assessment of relative risk
Presentation of findings and recommendations to Compliance and business area managers
Following-up on review findings until resolution

The incumbent will have the opportunity to participate regional and global compliance monitoring and testing programs in addition to involvement in the wider activities of the Asia-Pacific Compliance team and is expected to make contributions outside of the specific scope of their role.

Qualifications

The ideal candidate will have at least 6 years of relevant experience in the industry.

Experience in compliance advisory, compliance testing, internal or external audit will be a plus.

Experience in the following areas is required:

Investment banking (particularly securities trading)
Analysis of businesses and risk e.g. for regulatory compliance, due diligence or auditing

Skills Required

Structured and analytical approach
Confidence and ability to interview business managers to gather relevant information
Attention to detail
Good documentation skills
Ability to learn new topics quickly
Good judgment of issues and risk
Strong written and verbal communication skills in English, fluency in Mandarin a plus

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