In this episode of the Three Lines of Defence Podcast, Nick Kee, the Global Head of Institutional Securities Group Compliance at Morgan Stanley joins us to talk about his career. Nick shares his insight and views on leadership, mentoring and the impacts of COVID-19 from a monitoring and testing point of view. He also shares how he engages his team while working remotely.
Nick started as a Solicitor and worked for Blake Dawson Waldron and Sydney Futures Exchange before moving his career to compliance in 2001. That year, he joined Macquarie and progressed to Head of Compliance for the Securities Group. In 2011, he joined Morgan Stanley as Asia Chief Compliance Officer. In 2019, Nick moved to New York with Morgan Stanley to undertake his current global role.
In this episode we discuss:
- Nick’s early life and where he grew up.
- Practicing as a lawyer and making the move to work in compliance.
- The drivers behind moving to Macquarie then Morgan Stanley.
- Transitioning through work places from Hong Kong to New York.
- How key mentors have helped shape his career.
- Significant turning points in his career that led him to where he is today.
- One challenge he had to overcome.
- Characteristics he looks for when hiring people.
- Key attributes of effective leaders.
- Key attributes of effective stakeholder management.
- One piece of advice he would offer to a younger version of himself.
- Challenges for banks and financial institutions on monitoring, testing and supervision especially under COVID-19.
- Keeping the team engaged and involved despite working from home.
- Managing work pressure and stress that come with key leadership roles.
- His passions outside work.
Links:
Nicholas Kee - LinkedIn