Investment Management Compliance, Director (Assistant VP) - Bukit Merah
We’re seeking someone to join our team in the MSIM Asia Compliance team (the Team). The Team is responsible for managing regulatory risks and helping to preserve the Firm's franchise through ensuring Business and Infrastructure Units' compliance with relevant laws, regulations, rules and internal policies and procedures in the region (including Australia, China, Hong Kong, India, Korea, Singapore and Taiwan) for public and private side investment management businesses.
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 IM Compliance.The functions of the Team include providing advisory compliance support to MSIM business in Asia, implementing regional regulatory changes and global MSIM policies, issuing and maintaining regional and BU-specific policies and procedures, conducting training personnel, and conducting monitoring and surveillance, among other activities.
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:
- Advising and supporting MSIM on compliance matters across Asian jurisdictions and for both private and public side of investment management business activities.
- Drafting and maintaining MSIM Asia Compliance policies and procedures, and providing regional inputs on global MSIM policies as applicable.
- Developing training materials and conducting training sessions; communicating compliance/regulatory updates to the business including tracking and interpreting relevant regulatory change and implementation.
- Responding to queries on the Singapore and Hong Kong regulatory frameworks as applicable to the investment management business (including offering of investments, OTC derivatives, licensing and business conduct, etc).
- Assisting in identifying and developing modifications on the compliance program based on new business needs and evolving regulatory landscape.
- Advising, monitoring and overseeing 1st Line of Defense.
- Providing Cross-Border advice and reviewing marketing materials in line with regulatory and cross-border requirements.
- Reviewing escalated trading activity in particular, the fairness and appropriateness of affiliated transactions, fair allocation and cross-trades, etc including market abuse monitoring.
- Assisting in audit, regulatory and licensing matters including compilation and submission of regulatory returns and filings, responding to ad-hoc and routine audit/regulatory queries, onsite visits and inspections.
- Participating in various regional and global projects, such as new product / business/ instruments initiatives, etc.
What you'll bring to the role:
- At least 6 years' relevant experience would generally be expected to find the skills required for this role including a minimum of 3 years' recent experience in the investment management industry
- A Bachelor's degree in Legal, Accounting, Business or Finance
- Highly analytical with strong understanding of investment management industry and knowledge of regulations and rules in Asia, knowledge of Hong Kong is an advantage
- Detail oriented, motivated and able to multi-task in a fast paced, high pressure environment
- Exceptional written and oral communication skills
What you can expect from Morgan Stanley
We have a track record of innovation and passion for unlocking new opportunities, we help our clients raise, manage and allocate capital. We do this by offering a wide range of investment banking, securities, wealth management and asset management services.All that we do at Morgan Stanley is driven by our five core values: do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back. These aren’t just beliefs, they guide the decisions we make every day, ensuring we do what's best for our clients, communities and more than 80,000 employees around the world.
And at the core of our success are the people who drive it - relentless collaborators and creative thinkers who are fueled by diverse thinking and experiences. Wherever you are in our 1,200 global offices, you’ll have the opportunity to work alongside the best and the brightest in an environment where you are empowered to achieve your full potential.
We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences.Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.