Core Compliance - Manager
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
• As a member of the Core Compliance team, execute day-to-day operations for the following functions, but not limited to;
• Licensing and Registrations - responsible for ensuring the employees in the relevant business units are properly licensed and registered with the applicable authorities to perform financial activities and support maintaining their licenses.
• Policies and Procedures - responsible for maintenance of internal rules, policies and compliance notices. Timely follow ups with the Compliance professionals to review and update the existing documents.
• Compliance Training and Education - work closely with Compliance professionals and global counterparts to develop compliance training modules and, assist rolling out trainings to meet the training plan on a timely basis.
• Employee trading and Investments - assist senior compliance officer to ensure employees are in compliance with the Firm's internal policies on Employee Trading and Investments.
Skills required (essential)
• Proactivity, enthusiasm and aspiration to learn and develop.
• Ability to work independently as well as be an excellent team player.
• Excellent communication skills, both written and oral. Bilingual fluency preferred.
• Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results
• Attention to detail
• 2-5 years in financial services
• Relevant experience in compliance, risk management or regulatory related functions is preferred.
• Interest in learning of applicable regulatory principles and rules.
• Experiences in regulatory on-site inspection is plus.