Compliance Mumbai – Compliance Surveillance Professional
Position Description Core Compliance Surveillance Professional – ManagerIndia Core Compliance (“ICC”) team is an extended arm of Asia Pacific Core Compliance (“APCC”) based in Hong Kong. APCC covers Corporate Disclosures and Licensing, Employee Trading, Trade Surveillance, Regulatory Inquiries, Content Delivery, and Policy Development.ICC is primarily responsible for performing Employee Trading Compliance for Asia Pacific and Trade Surveillance for various jurisdictions within the region to ensure compliance with laws, regulations, rules and internal policies and procedures.The incumbent will not Read more […]
Compliance Zhuhai, Morgan Stanley Bank International China (MSBIC), Analyst/Associate
Position Description Morgan Stanley Bank International China (MSBIC) is currently looking for an industry professional to join their China Compliance team at Associate level. Candidates with more experience will be considered at Associate level.Based in Zhuhai (ZH) and reporting to MSBIC Head of Compliance, this role will be responsible for these core responsibilities:- Anti-Money Laundering (AML). Identify risk areas or conduct independent KYC compliance reviews and monitoring under management guidance. Be the key contact person with regulators regarding AML issues. Responsible for regular internal Read more […]
Fixed Income Surveillance
Position Description MSIM Compliance supports all aspects of the investment management business including providing information to Portfolio Managers and Trading to aid in investment decisions with respect to adherence to client and regulatory guidelines and restrictions. This individual will be responsible for the daily surveillance of fixed income separately managed accounts and mutual funds. Utilize Blackrock Aladdin to monitor accounts for compliance with client contracts and regulatory requirements. Provide real time advice to front office personnel in a fast paced, high-pressure environment.Participate Read more […]
Lead Compliance Coverage Officer for US Finance
Position Description Lead compliance coverage officer for U.S. Finance Division. Report to global compliance coverage head for Operations, Finance and Technology Divisions. Primary coverage areas include:• Customer protection-related processes for Morgan Stanley’s U.S. institutional and retail broker-dealers, including regulatory reporting (e.g. FOCUS), net capital requirements under Securities Exchange Act (SEA) Rule 15c3-1, and customer reserve formula under SEA Rule 15c3-3 • Coverage of regulator exams • Prepare and present biannual supervisory control process report • Continue to develop Read more […]
Compliance Beijing, Morgan Stanley Bank International China Ltd, Beijing Branch, Manager/Director
Position Description 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.With rapid growth of our business developments in China, Morgan Stanley Bank International China Ltd. (MSBIC) Beijing (BJ) Branch is currently looking for an experienced professional to join their China Compliance team at Manager / Director level.Based in Beijing and Read more […]
Global AML and OFAC/Sanctions Risk Assessment Coordinator
Position Description Work closely with the Global Head of the AML Group, the Global AML Counsel, the Global Sanctions Counsel, and AML Group senior management to coordinate the Firm’s enterprise-wide AML and OFAC/Sanctions Risk Assessment process. Primary responsibilities will include:• Coordinating and supporting all phases of the risk assessment, including planning, data gathering, analysis, and reporting• Providing input to the AML Group’s annual compliance plans, including proposed testing and training initiatives, based on the risk assessment results• Enhancing the existing risk assessment Read more […]
Institutional Equity Division (IED) Compliance Officer
Position Description Provide Compliance support for equity sales and trading desks, as well as support functions: IT, Risk, Operations, controllers, finance Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules: Reg NMS, Reg SHO, OATS, Rule 5320, trade reporting, Rule 605/606, riskless principalCommunicate with traders and supervisors to assess risk and re mediate issues Assist in the design and maintenance of written supervisory proceduresAssist in regulatory reviews, including inquiries, audits and examsDesign and deliver applicable training for business Read more […]
Global AML Monitoring and Testing Coordinator
Position Description Work closely with AML Group management and AML IT personnel on the implementation and execution the AML Group’s annual testing plan and provide project support for ongoing enhancements related to the Firm’s AML transaction monitoring optimization efforts. Primary responsibilities will include:• Performing AML-related testing, including test planning/scoping, sampling, issue reporting, closure verification, and preparing workpaper documentation and final reports consistent with the Compliance Department’s testing standards;• Supporting other AML Group personnel in their Read more […]
AML Quantitative Analyst
Position Description As part of Morgan Stanley’s ongoing commitment to prevent and detect money laundering and terrorist financing, the Firm has adopted a comprehensive, risk-based program to ensure compliance with counter-terrorism and anti-money laundering (“AML”) laws, rules, regulations, and government guidance. The successful candidate will work closely with senior members of the AML Group and AML IT personnel in support of strategic projects and process improvements that would benefit from robust data analytics. Primary responsibilities will include:• Evaluating existing surveillance models Read more […]
AML Enhanced Due Diligence Analyst
Position Description –Assist with compliance with USA PATRIOT Act and Office of Foreign Assets Control sanctions requirements.– Conduct enhanced due diligence reviews of clients during account opening process.– Conduct due diligence searches in various third-party and internal databases.– Assist with the review of client accounts for potential matches to designated sanctions targets and prohibited persons lists.– Lead AML trainings of targeted divisions within the Firm.– Respond to quesions from the field on the AML Information Line. Skills Required See position description. Skills Desired Read more […]