Primary Responsibilities > 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, with a primary focus on investment banking, global capital markets and research. 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.
