Asia Wealth Management - Business Control Unit Surveillance, Director, Hong at Morgan Stanley

, Hong Kong, China -

Full Time

Start Date

Immediate

Expiry Date

19 Feb, 26

Salary

0.0

Posted On

21 Nov, 25

Experience

10 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Surveillance, Compliance, Risk Management, Analytical Skills, Investigative Skills, Problem-Solving Skills, Project Management, Communication Skills, Leadership, Collaboration, Data Analytics, Automation, Private Banking, Regulatory Controls, Asset Classes, Training

Industry

Financial Services

Description

Perform daily supervisory and trade-based surveillance reviews to ensure compliance with firm policies and procedures, including but not limited to selling process, suitability, fees monitoring, best execution, cross-border restrictions, and deposit protection schemes. Monitor and identify internal breaches or control weaknesses, conduct investigations, and recommend corrective actions as needed. Partner with business and control partners (Compliance, Legal, Operational Risk) to establish and maintain effective regulatory controls and governance frameworks. Identify and participate in process re-engineering projects to reduce residual risks and improve efficiency and effectiveness. Analyze reports and identify trends to assess business risk, escalating issues and exceptions to senior management as appropriate. Prepare documentation and reports for management, regulators, and committees, ensuring timely escalation of significant findings. Oversee and manage outsourced surveillance teams to ensure reviews meet performance criteria and quality standards. Conduct independent reviews of business activities against regulatory expectations and internal standards. Provide training and guidance to business partners on surveillance-related topics and compliance requirements. Stay abreast of emerging risks, regulatory changes, and industry trends, proatively adapting surveillance practices as needed. 8+ years of relevant experience in private banking, risk management, or compliance. Strong knowledge of various asset classes, including equities, fixed income, listed and OTC derivatives, and banking products. Ideally with previous work experience in a similar control/risk function within the business, or in regulators. Excellent analytical, investigative, and problem-solving skills. Strong project management abilities. Excellent verbal and written communication skills in English, Cantonese, and Mandarin. Demonstrated leadership and ability to work collaboratively across teams. Experience with AI-powered surveillance tools, data analytics, or automation in risk management is a strong advantage. 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. 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. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.

Responsibilities

Perform daily supervisory and trade-based surveillance reviews to ensure compliance with firm policies and procedures. Monitor and identify internal breaches or control weaknesses, conduct investigations, and recommend corrective actions as needed.