Full Time

Compliance Officer, VP or above, Shenzhen

Posted 1 month ago
Application ends: November 1, 2021
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Job Description

Company Profile

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 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.

Morgan Stanley Investment Management (MSIM) is the investment management division of Morgan Stanley. MSIM strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to our diverse client base, which includes governments, institutions, corporations, and individuals worldwide.

Morgan Stanley Huaxin Fund Management Co., Ltd. (MSHF) is a Sino-foreign joint venture fund management company in which Morgan Stanley is the largest shareholder. Headquartered in Shenzhen, with branches in Beijing and Shanghai, MSHF provides an array of professionally managed funds for China investors, including fixed income, actively managed equities, fund of funds and separately-managed accounts, with a goal to meet investors’ needs for asset allocation, risk management and investment returns.

Job Scope

This Compliance Officer 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 in communication and coordination with BUs.


  • 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.
  • Advise employees on Compliance policies and regulatory requirements for business activities.
  • Assist the Department Head in compliance projects/initiatives and coordinate with regional team to ensure MS standard is adopted.
  • 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.
  • Adequate knowledge on Compliance framework and MS policies and procedures;
  • At least 8 years of working experiences in current position, including but not limited to compliance, internal audit, risk control, monitoring and testing, etc.;
  • Fluent Mandarin language skills (both oral and written), and originally from China mainland is preferred;
  • Familiarity with MS Investment Management business is highly preferred;

Posting Date

Mar 8, 2021

Primary Location

Non-Japan Asia-China-Guangdong-Shenzhen



Employment Type

Full Time

Job Level

Vice President