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 60,000 employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in more than 40 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 rooted in integrity, excellence and strong team ethic. 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.
The Compliance Department is part of the Legal and Compliance Division, and provides guidance and advice to Business Units and infrastructure and support staff at the Firm.
The Department provides advice on compliance matters including for new products and businesses and interpretation of rules and policies, develops and implements compliance policies and procedures, and provides relevant training. It also maintains the rules management and compliance risk management frameworks, undertakes testing activities and utilizes exception reports to monitor and, where appropriate, investigate Firm, customer and employee activity.
This role is based in Singapore and will report to the Head of Compliance for South East Asia. They will be responsible for assisting in managing the Firm's regulatory risk and helping to preserve the Firm's franchise through ensuring and monitoring Business and Infrastructure Units' compliance with laws, regulations, rules and internal policies and procedures. Business units covered include:
- Fixed Income Division including Commodities;
- Institutional Equity Division;
- Investment Banking Division and Global Capital Markets;
- Equity Research;
- Real Estate Investing; and
The overall goal of this role is to raise compliance standards across the Firm in these coverage areas as the Firm continues to expand its footprint in the region, assist in ensuring consistency where appropriate of compliance processes and controls.
• Advisory: Provide advice either independently or with other team members, including regional Product Compliance on compliance issues across all Morgan Stanley's institutional securities businesses in Singapore and ASEAN. These may include major business initiatives and/or bespoke transactions and will often be product specific.
• Regulatory tracking: Tracking relevant regulatory changes/updates, and Interpreting regulations and helping to implement appropriate solutions with the business
• Implementation and maintenance of Policies and Procedures: Assist in the creation and implementation of new policies and procedures or, as appropriate, the update of existing policies and procedures in response to, or in anticipation of, relevant rule changes, new legislation, industry guidance and/or evolving business.
• Training: Design and deliver training on a broad array of relevant Compliance and regulatory topics.
• Compliance Reviews: Advise the monitoring and testing team to guide their reviews of the Singapore and ASEAN business, including risk identification, review design and resolution of action items.
• Compliance Surveillance: Work closely with the surveillance team to advise on trade surveillance needs and assist in handling escalation events.
• Regulatory and Client Enquiries: Assist with enquiries from regulatory authorities and clients and liaise with Legal and Compliance professionals and other support areas of the Firm on these matters.
• Regulatory Audits: Assist in the co-ordination of regulatory audits and visits and follow-up on findings as necessary.