Investment Management Compliance, Vice President at Morgan Stanley

, , Singapore -

Full Time

Start Date

Immediate

Expiry Date

24 Feb, 26

Salary

0.0

Posted On

26 Nov, 25

Experience

10 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Investment Management, Regulatory Knowledge, Policy Development, Training Development, Communication Skills, Analytical Skills, Detail Oriented, Multi-tasking, Market Abuse Monitoring, Audit Assistance, Cross-Border Advice, Trading Activity Review, Business Conduct, Licensing, Regulatory Updates

Industry

Financial Services

Description

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. At least 8 years' relevant experience would generally be expected to find the skills required for this role including a minimum of 5 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 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. 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. 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. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. 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. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. 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.

Responsibilities

The role involves advising and supporting MSIM on compliance matters across Asian jurisdictions and drafting compliance policies and procedures. It also includes developing training materials, responding to regulatory queries, and assisting in audit and regulatory matters.