Private Side Compliance - Director

PowerToFly; Hong Kong; On-site; HKD 1,500,000 - 2,100,000; Full time

Job summary

Morgan Stanley is seeking a Private Side Compliance Director to provide advisory and oversight for Investment Banking and Capital Markets activities, ensuring robust compliance with regulatory requirements and internal policies.

The role sits within the Legal & Compliance division and involves collaboration across regional and global teams to manage franchise risk, develop controls, and engage with regulators.

Qualifications

• Degree in Law, Business, Accounting or related discipline.
• Experience in compliance within financial services or with regulators, exchanges, or law firms.

Responsibilities

• Advise on compliance policies and evolving regulatory requirements impacting IBD and GCM activities.
• Partner with Legal, Risk, and business stakeholders on transaction-related and strategic matters.
• Draft and update policies, procedures, and compliance notices in response to regulatory and business changes.
• Develop training materials and deliver compliance training to business stakeholders.
• Review new business initiatives and infrastructure changes from regulatory and Firm perspectives.
• Prepare and analyze supervisory metrics and reporting.
• Lead and support projects to enhance internal controls and compliance frameworks.
• Respond to regulatory inquiries and examinations in coordination with Litigation and Regulatory Relations teams.
• Collaborate with regional and global Legal & Compliance teams on cross-border matters.
• Partner with Compliance Testing to identify risks, assess findings, and drive remediation actions.
• Support engagement with regulators to maintain transparent and constructive relationships.

Skills

Regulatory knowledge

Stakeholder management

Policy development

Regulatory reporting

Analytical thinking

Communication in English

Education

Law/Business/Accounting degree

Tools

Microsoft Office

Regulatory systems

Job description

We’re seeking someone to join our team as a Private Side Compliance Director in Legal & Compliance to provide advisory and oversight for Investment Banking and Capital Markets activities, ensuring robust compliance with regulatory requirements and internal policies.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. This is a Director level position within the Private Side Compliance team, which is responsible for providing compliance oversight and advisory support to the Investment Banking Division (IBD) and Global Capital Markets (GCM), including policy development, regulatory engagement, and control framework governance.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What You’ll Do in the Role

• Advise on the application of compliance policies and evolving regulatory requirements impacting IBD and GCM activities
• Partner with Legal, Risk, and business stakeholders on transaction-related and strategic matters
• Draft and update policies, procedures, and compliance notices in response to regulatory and business changes
• Develop training materials and deliver compliance training to business stakeholders
• Review new business initiatives and infrastructure changes from regulatory and Firm perspectives
• Prepare and analyze supervisory metrics and reporting
• Lead and support projects to enhance internal controls and compliance frameworks
• Respond to regulatory inquiries and examinations in coordination with Litigation and Regulatory Relations teams
• Collaborate with regional and global Legal & Compliance teams on cross-border matters
• Partner with Compliance Testing to identify risks, assess findings, and drive remediation actions
• Support engagement with regulators to maintain transparent and constructive relationships

What You’ll Bring to the Role

• Degree in Law, Business, Accounting or a related discipline
• Experience in compliance within financial services, or at a regulator, exchange, or law firm
• Understanding of regulatory frameworks relevant to investment banking and capital markets
• Knowledge of information barriers, conflicts clearance, and Control Group functions
• Sound judgment and ability to identify and elevate risks appropriately
• Ability to manage multiple priorities in a fast-paced environment
• Strong stakeholder management and ability to influence senior business partners
• Excellent communication skills in English; additional Asian language skills (Mandarin/Cantonese) advantageous
• Strong analytical capability and attention to detail
• Ability to assess complex situations and make sound compliance decisions under pressure
• Proficiency in Microsoft Office (Excel, PowerPoint) and ability to learn internal systems
• At least 6–8 years’ relevant experience would generally be expected to find the skills required for this role

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.