APAC Infrastructure Compliance – Director/Vice President

Morgan Stanley; Hong Kong; On-site; HKD 1,500,000 - 2,300,000; Full time

Job summary

Morgan Stanley seeks an APAC Infrastructure Compliance Director/Vice President to provide independent oversight for compliance matters affecting infrastructure teams across Asia Pacific. You will monitor regulatory requirements, advise on interpretations, and collaborate with Legal and 2L NFR to ensure regulatory adherence and integrity.

The role requires building strong relationships with Legal, Compliance, business units and infrastructure divisions, and delivering training and governance

Qualifications

• Bachelor's degree in business, accounting or law.
• 8+ years of experience in compliance, risk management, legal or related functions.
• Experience dealing with regulators and regulatory requirements.
• Deep understanding of Operations processes in a global financial institution.
• Ability to build relationships across Legal, Compliance, business units and infrastructure.
• Ability to perform multiple tasks and prioritize.
• Strong analytical and communication skills with ability to present findings.
• Proactive and confident approach.
• Fluency in an Asian language preferred.
• Excellent written and verbal communication and interpersonal skills.

Responsibilities

• Monitor and track new rules and regulations impacting APAC infrastructure areas; advise on rule interpretation.
• Provide compliance advice on infrastructure-related topics and support new business initiatives.
• Collaborate with Legal and 2L NFR professionals and business units on complex matters.
• Report on infrastructure compliance topics to local and global management; participate in governance processes.
• Develop and deliver training programs for infrastructure compliance topics.
• Drive risk-based monitoring and testing programs; review regulatory reporting control packs and related policies.

Skills

Regulatory requirements

Relationship building

Analytical skills

Communication skills

Multi-tasking

Proactive approach

Asian language fluency

Regulatory monitoring

Training delivery

Education

Bachelor’s degree in business, accounting or law

8+ years of experience in compliance/risk management/legal

Job description

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.

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.