JOB SCOPE

This Compliance Manager will report to Director of Compliance department (department head) and be responsible for compliance review, routine monitoring, compliance inspection etc. and assist the head of Compliance department in communication and coordination with BUs.

RESPONSIBILITIES

• Review the policies and procedures of the company, and timely promote the revision and effectively implement of the P&Ps according to regulations and the company’s internal control management requirements.

• Participate in compliance risk assessment of new business and new products according to the company's business development needs and regulatory requirements.

• In charge of routine compliance monitoring arranged by the department.

• Formulate and conduct compliance inspection plan, and promote relevant BUs to improve.

• Organize and carry out compliance training and provide compliance consultation.

• Carry out other tasks assigned by the department head.


Qualifications:


REQUIREMENTS

• University degree from recognized academic institution;

• At least 6 years of financial institutions compliance management experience, preferably from fund management or securities companies;

• Proven ability to work within a multicultural environment;

• Excellent learning ability and strong initiative, and ability to follow the business development requirements;

• Good communication and coordination skills;

• Ability to multi task in a fast-paced environment;

• Fluent Mandarin and English language skills.

摩根士丹利（Morgan Stanley，NYSE：MS），财经界俗称“大摩”，是一家成立于美国纽约的国际金融服务公司，提供包括证券、资产管理、企业合并重组和信用卡等多种金融服务，目前在全球27个国家的600多个城市有代表处，雇员总数达5万多人。
2008年9月，更改公司注册地位为“银行控股公司”。
2017年6月7日，2017年《财富》美国500强排行榜发布，摩根士丹利排名第76位。 2018年7月19日，《财富》世界500强排行榜发布，摩根士丹利位列249位。 2018年12月18日，世界品牌实验室编制的《2018世界品牌500强》揭晓，摩根士丹利排名第55位。 2019年7月，发布2019《财富》世界500强：位列218位。 2019年10月，Interbrand发布的全球品牌百强榜排名69 。