Primary Responsibilities > Advisory: Provide advice either independently or with other team members, on compliance issues across all Morgan Stanley Singapore's infrastructural divisions. Topics include Regulatory Reporting, Client Assets, Statements and Confirms, Product Data, Client Categorization, Margins and Collateral, Technology Risk and Reporting, Business Continuity Management, Outsourcing, etc. > Regulatory tracking: Tracking relevant regulatory changes/updates, and Interpreting regulations and helping to implement appropriate solutions with the relevant infrastructural divisions.
> 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.
> Oversee the licensing for all Morgan Stanley Singapore entities and employees, as well as the Individual Accountability and Conduct related framework and procedures.
> Training: Design and deliver training on a broad array of relevant Compliance and regulatory topics.
> Project Management: leading on various projects such as new product / business/ instruments initiatives, global initiatives, etc
> 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.
