Director - Morgan Stanley Bank International China - Branch Compliance - Morgan Stanley - Beijing

Job description
Primary Responsibilities
- To promote the culture and practice of compliance with the letter and spirit of regulatory requirements and ethical standards in the conduct of business, and to ensure the branch’s practice in compliance with those local and central requirements and standards.
- To ensure that the Branch operate in accordance with (a) all regulatory requirements and (b) all Group standards of conduct, so as to protect and enhance the reputation of the bank with its regulators and avoid significant financial loss.

- To provide support to MSBIC Head of Compliance and Bank Management to ensure that they establish and monitor appropriate arrangements for meeting regulatory obligations and high standards of conduct in their businesses, in accordance with Group compliance standards.
- To provide compliance advisory to Business Units in a focused and consistent manner and in accordance with Group standards.
- To assist MSBIC Head of Compliance to enhance the Group’s relationship with its central regulators as well as local regulators, so as to maximize the benefit to the Bank flowing from those relationships.
- To acting as a contact person for regulators’ requirement and survey as well as on-site inspections, and to make sure all the reports and surveys in BJ branches are timely submitted.
- To provide a pro-active support on regulatory problems arising from alleged or actual breaches of regulatory requirements and/or ethical standards, where there is a material risk to the reputation of the bank or its relationship with its regulators, so as to avoid/minimize reputational damage.
- To provide necessary compliance training and AML training to branch people
- Others as the case may be


Qualifications

Skills required (essential)
- Qualified professional with minimum 3 to 4 years working experience in financial areas
- Thorough knowledge of banking and other laws and regulations in China
- Strong analytical and monitoring skills
- Strong network with central and local regulatory bodies will be an advantage
- Good judgment enabling the provision of sound advice in difficult areas of compliance
- An inquisitive approach to practices, procedures and specific transactions
- Independence and robustness
- Personal authority, integrity and ethics

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