Investment Management Compliance, Director (AVP) /Vice President

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 VP 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 business on compliance matters across Asian jurisdictions (ex- Japan and India) 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.
> Ensuring compliance with applicable regulatory framework as applicable to MSIM's business in Asia (in particular with regards to cross-border activities, 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.
> Providing Cross-Border Advice and Reviewing marketing materials in line with regulatory and cross-border requirements.
> Assisting in audit, regulatory and licensing matters including compilation and submission of regulatory returns and filings (for MAS, HK SFC, US SEC), 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.
> Collaborating with Compliance coverage across multiple business lines within Morgan Stanley, to ensure coordinated compliance oversight on integrated business opportunities and transactions.

What you'll bring to the role: 

> A Bachelor's degree in Legal, Accounting, Business or Finance
> Min 8 years' compliance-related experience in a financial institution and/or financial regulator, including a minimum of 5 years' recent experience in the investment management industry
> Highly analytical with strong understanding of investment management industry and knowledge of regulations and rules in Asia
> 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.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years.  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. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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.

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.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.