Director, Information Barriers & Research Coverage

Morgan Stanley Asia Limited; Hong Kong; On-site; HKD 1,500,000 - 2,200,000; Full time

Job summary

Morgan Stanley Asia Limited in Hong Kong seeks a Director for the Control Group covering Research & Investment Banking. You will lead oversight of Information Barriers, manage conflicts of interest, and supervise employee trading pre-clearances in a highly regulated environment.

The role requires a university degree and extensive compliance experience within financial services; you will strengthen governance, maintain watch lists, and coordinate with global teams to ensure regulatory obligations

Qualifications

• University degree or equivalent (preferably in business, accounting, or law)
• Extensive experience in compliance, legal, or regulatory environments within financial services
• Deep understanding of insider trading, market abuse, financial promotions, and Information Barrier frameworks
• Strong analytical mindset with the ability to manage complex regulatory scenarios and make sound judgments
• Excellent communication skills with the ability to influence and challenge senior stakeholders
• Proven ability to operate effectively under pressure and manage multiple priorities
• Strong stakeholder management skills across business units and global teams
• Experience in supervising, mentoring, and developing junior team members
• At least 6 years' relevant experience would generally be expected to find the skills required for this role

Responsibilities

• Lead the oversight and maintenance of the Firm's Watch and Restricted Lists, including engagement with private side deal teams and senior stakeholders
• Oversee documentation, governance, and required notifications under the Firm's Wall Crossing policies and procedures
• Review Fixed Income and Equity Research for compliance with securities regulations and internal policies (including M&A Research Policy)
• Chaperone and gatekeep communications between Research and Private Side businesses, ensuring adherence to regulatory obligations
• Approve and oversee employee personal account dealing pre-clearances for individuals subject to Control Group oversight
• Identify, assess, and escalation complex conflicts of interest and compliance risks to senior management and relevant control functions
• Act as a key point of contact for global Control Group teams and cross-regional stakeholders on Information Barrier matters
• Drive continuous enhancement of processes, controls, and risk management frameworks across the Control Group

Skills

Compliance

Regulatory environment

Stakeholder management

Information Barriers

Communication skills

Leadership

Mentoring

Decision making under pressure

Education

University degree

Law/Accounting background

Regulatory experience in financial services

Job description

Morgan Stanley Asia Limited in Hong Kong seeks a Director for the Control Group covering Research & Investment Banking. You will lead oversight of Information Barriers, manage conflicts of interest, and supervise employee trading pre-clearances in a highly regulated environment.

The role requires a university degree and extensive compliance experience within financial services; you will strengthen governance, maintain watch lists, and coordinate with global teams to ensure regulatory obligations