Investment Management Compliance, Director (Assistant VP)

DEPARTMENT PROFILE The mission of the Legal and Compliance Division is to assist Morgan Stanley in achieving its business objectives in a manner consistent with the Firm's core values and Global Risk Management Principles, by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. Professionals within Legal and Compliance provide wide-ranging support to our business units. They advise on new product introductions; develop training programs; surveil for compliance with market and investor requirements; or defuse investor disputes. They preserve the Firm's invaluable reputation for integrity and protect the Firm from regulatory sanctions with policies and procedures that meet applicable global regulatory requirements. 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 Morgan Stanley Investment Management [MSIM], together with its investment advisory affiliates, manages more than USD$1.6trillion in assets under management or supervision [as of March 31, 2025]. MSIM offers investment expertise across a broad spectrum of strategies such as Equities, Fixed Income and Liquidities, Alternative Investments, as well as Solutions & Multi-Asset, underpinned by Sustainable Investing capabilities. We are looking for a high caliber individual to join the MSIM Asia Compliance team (the Team). The Team is responsible for managing regulatory risks and helping to preserve the Firm's franchise through ensuring Business and Infrastructure Units' compliance with relevant laws, regulations, rules and internal policies and procedures in the region (including Australia, China, Hong Kong, India, Korea, Singapore and Taiwan) for public and private side investment management businesses. The functions of the Team include providing advisory compliance support to MSIM business in Asia, implementing regional regulatory changes and global MSIM policies, issuing and maintaining regional and BU-specific policies and procedures, conducting training personnel, and conducting monitoring and surveillance, among other activities. Primary Responsibilities This role will be based in Singapore. Duties include: Advising and supporting MSIM on compliance matters across Asian jurisdictions and for both private and public side of investment management business activities. Drafting and maintaining MSIM Asia Compliance policies and procedures, and providing regional inputs on global MSIM policies as applicable. Developing training materials and conducting training sessions; communicating compliance/regulatory updates to the business including tracking and interpreting relevant regulatory change and implementation. Responding to queries on the Singapore and Hong Kong regulatory frameworks as applicable to the investment management business (including offering of investments, OTC derivatives, licensing and business conduct, etc). Assisting in identifying and developing modifications on the compliance program based on new business needs and evolving regulatory landscape. Advising, monitoring and overseeing 1st Line of Defense. Providing Cross-Border advice and reviewing marketing materials in line with regulatory and cross-border requirements. Reviewing escalated trading activity in particular, the fairness and appropriateness of affiliated transactions, fair allocation and cross-trades, etc including market abuse monitoring. Assisting in audit, regulatory and licensing matters including compilation and submission of regulatory returns and filings, responding to ad-hoc and routine audit/ regulatory queries, onsite visits and inspections. Participating in various regional and global projects, such as new product / business/ instruments initiatives, etc. QUALIFICATIONS A Bachelor's degree in Legal, Accounting, Business or Finance At least 8 years' compliance-related experience in a financial institution and/or financial regulator, including a minimum of 3 years' recent experience in the investment management industry Highly analytical with strong understanding of investment management industry and knowledge of regulations and rules in Asia, knowledge of Hong Kong is an advantage Detail oriented, motivated and able to multi-task in a fast paced, high pressure environment Exceptional written and oral communication skillsWHAT YOU CAN EXPECT FROM MORGAN STANLEY:We are committed 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, committing 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, communities 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 and comprehensive 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 https://www.morganstanley.com/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 is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.