Singapore ISG Compliance, Vice President

Responsibilities

Advisory : Provide advice either independently or with other team members, including regional Productpliance onpliance issues across all Morgan Stanley's institutional securities businesses in Singapore and ASEAN, with a primary focus on the equities business. 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 relevantpliance and regulatory topics.

pliance 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.

pliance 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 andpliance 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.

Requirements

A Bachelor's degree in Legal, Accounting, Business or Finance

Strong knowledge of MAS and SGX regulations, and good understanding of sales and trading products and practices, in particular of cash equities sales and trading area. Additional knowledge of and experience in investment banking related processes and procedures including information barriers, conflict clearance, etc would be advantageous

At least 10 years experience is working in the financial services sector preferably in Singapore Country / Marketspliance. Experience working at the securities exchange or at the regulator is advantageous but not necessary

Team player

Ability to effectively review and analyse data / scenarios and apply judgment to identify risks and resolve issues in a timely manner

Detail oriented, motivated and able to multi-task in a fast paced, high pressure environment

Strongmunication and interpersonal skills to effectively interact and influence internal stakeholders.

Proficient in time management and able to initiate and manage own tasks

WHAT YOU CAN EXPECT FROM MORGAN STANLEY :

We aremitted to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas,mitting 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,munities 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 andprehensive 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 / / morganstanley / 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 isprised of individuals drawn from a broad cross section of the globalmunities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strongmitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents. Job ID PT-JR015543