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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 employees serve clients worldwide including corporations, governments and individuals from more than 747 offices in 42 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.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Background on the Position
Based in Singapore, the Compliance professional 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
- Advisory: Provide advice either independently or with other team members on compliance issues across all Morgan Stanley's businesses in Singapore and the region. These may include major business initiatives and/or bespoke transactions and will often be product specific.
- Work closely with Morgan Stanley's regional Sales and Trading Compliance team in Hong Kong on Fixed Income, Commodities and Equity matters.
- Projects: Actively involved in ad-hoc projects including implementing new systems and products.
- Desk Reviews and Monitoring: Ensure compliance with laws, rules, and regulations and the Firm's policies, procedures and standards by conducting periodic desk reviews of the firm's activities, through interviews and test checks and assisting the Regional Compliance Testing Team.
- Firm Policies: Consistently review internal policies to ensure alignment to changing rules and regulations.
- Market Updates: Assist in monitoring regulatory and policy changes, analyzing their impact and communicating such changes to relevant staff.
- Reporting: Help to prepare and submit regular and ad-hoc regulatory reports, and/or reports of findings and following up on issues identified.
- Documentation: Assist in the maintenance of Compliance documentation including Business Unit Manuals, Compliance Notices, Rules Database (which is a comprehensive database of the rules that the Firm must observe).
- Training: Provide training to both professionals and support staff of the Business and Infrastructure Units, as required.
- Business Partnership: Develop relationships with internal businesses to ensure its compliance with rules and regulations.
- SGX/MAS: Understand the regulators' rules and regulations and work on regulatory inspections and internal/external audits, as well as any ad-hoc regulatory inquiries.
- Approvals: Be part of the team that review and request for approvals for new products and variations.
Skills required (essential)
- Strong understanding of regulatory rules and policies and in particular strong compliance coverage experience in Fixed Income, Currencies and Commodities.
- Good understanding of equity markets and associated rules of the MAS and SGX.
- Good knowledge of Markets Trading and Sales practices.
- Articulate on Compliance matters and the ability to develop a strong working partnership with the Sales and Trading Desk.
- Excellent written English skills.
- Strong analytical skills in identifying any discrepancies.
- Possess market acumen to adjust and adapt to the changing regulatory landscape.
- Proactive and ability to work independently when required.
- Desire to work in a team environment.
- Asian language abilities are helpful as the role will support Asia region
Preference will be given to candidates with at least 10 years' relevant working experience in the financial services industry in Markets Compliance and have come with a securities exchange or regulator background.
Internal Number: 5680138
About Morgan Stanley
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