APAC Infrastructure Compliance – Director/Vice President
Morgan Stanley · Hong Kong · 7mo ago
The APAC Infrastructure Compliance Director/Vice President provides independent oversight and challenge for compliance matters impacting Morgan Stanley’s infrastructure teams, primarily Operations and Finance, across the Asia Pacific region. This includes monitoring and ensuring adherence to infrastructure compliance topics, including but not limited to regulatory & transaction reporting, client assets, statements and confirms, clearing, margins and collateral, product data, and settlement. This role works closely with Legal, 2L Non-Financial Risk (NFR) professionals (incl. Compliance, Operational Risk and Global Financial Crimes) and infrastructure team members across the region and the globe to ensure regulatory requirements are met and the firm’s reputation for integrity is maintained. This role supports all Morgan Stanley core businesses in APAC, including ISG, MSIM and PWM.
Key Responsibilities:
Regulatory Monitoring & Implementation:
Monitor and track new rules and regulations impacting infrastructure areas, including those that may be issued by key APAC financial regulators such as the SFC, HKMA, MAS and ASIC to ensure all applicable obligations are identified and addressed. Advise on rule interpretation and provide clarifications on regulatory requirements.
Compliance Advisory:
Provide compliance advice on infrastructure-related topics.
Support new business initiatives, ensuring relevant regulations and requirements are identified and met by infrastructure teams.
Collaborate with other Legal and 2L NFR professionals and business units to address complex compliance matters.
Reporting & Governance:
Report on infrastructure compliance topics to local and global management.
Participate in governance processes, including regional Committees, NFR risk assessments, annual planning, and lessons learned.
Participate in regional and global projects to enhance compliance procedures and documentation.
Training:
Develop and deliver training programs for infrastructure compliance topics.
Provide periodic and ad hoc training to relevant teams as needed.
Monitoring & Testing:
Drive risk-based monitoring checks and testing programs for infrastructure compliance.
Conduct periodic reviews of regulatory reporting control packs and compliance-related policies and processes.
Qualifications & Skills
Bachelor degree, ideally in business, accounting or law.
8+ years of relevant experience in compliance, risk management, legal, or related functions.
Experience in dealing with regulators and regulatory requirements.
Deep understanding of Operations processes and functions within a global financial institution.
Ability to build strong relationships across Legal, Compliance, business units and infrastructure divisions.
Ability to perform multiple tasks and prioritize appropriately.
Strong analytical and communication skills; able to perform analysis independently and present solutions/findings to an audience.
Proactive and confident approach.
Fluency in an Asian language is preferred.
Excellent written and verbal communication skills and interpersonal skills, with an ability to interact with all levels of management and staff.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 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.
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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.