ISG Compliance, Vice President
Core
Manage regulatory risk and ensure compliance with laws and internal policies for Morgan Stanley's Investment Banking, Global Capital Markets, and Sales & Trading units in Singapore.
Role type
Vice President, Non-Financial Risk Compliance
Builds
Compliance oversight for integrated business opportunities and transactions across multiple business lines
Domain
Financial Services / Securities Regulation
Deliverable
dashboards & analysis
Required skills
Regulatory advice, policy implementation, compliance surveillance, risk identification, regulatory audit coordination, cross-border compliance analysis
Preferred skills
Knowledge of Southeast Asian markets, securities exchange experience, regulatory experience, investment banking processes
Technologies
MAS SFA, SGX regulations, OTCD, outsourcing, IAC, best execution frameworks
Responsibilities
Provide regulatory advice to ISG desks, participate in strategic projects and new product approvals, implement and update compliance policies, deliver compliance training, conduct compliance surveillance and reviews, handle regulatory and client enquiries, coordinate regulatory audits, analyze Singapore regulatory requirements
Seniority
Senior, hands-on IC