Sustainability Compliance Office, Asia - Compliance Officer, Vice President/Executive Director

Morgan Stanley
Singapore, Singapore
04 Mar 2023
31 Mar 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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.

Legal and Compliance Division Overview

Professionals within the Legal and Compliance Division 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 are designed to 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.

Background on the Position

The Compliance Department is seeking an experienced compliance officer to provide Asia regional support to the Sustainability Compliance Office (SCO). The role will involve supporting enhancements to compliance programs related to the Firm's sustainability focused products, transactions and services, and aiding compliance with applicable ESG-related laws, regulations, and Firm policies and procedures. This individual will work closely with colleagues in the Legal and Compliance Division, as well as key sustainability focused business and functional group stakeholders representing all lines of business operating in the Asia region.

Overview of the SCO

The SCO is a central function within the Compliance Department whose remit is to support enhancements to Compliance programs to manage ESG-related risks by: (1) partnering with business coverage Compliance teams across the Firm, (2) developing Firmwide Compliance frameworks, (3) partnering with business and other stakeholders to develop Firmwide ESG-related risk and control frameworks, and (4) providing Compliance coverage to the Firm's Global Sustainability Office.

Key Responsibilities
  • Supporting the implementation of enhancements to compliance programs and processes to effectively address ESG-related compliance and regulatory risks.
  • As a subject matter expert, providing advice on applicable ESG-related compliance and regulatory matters to business personnel and support functions.
  • Assessing impact of ESG-related regulatory developments, supporting regulatory change management efforts, and providing regulatory updates to the business.
  • Maintaining a thorough and up-to-date understanding of applicable Asia regional ESG regulations and rule proposals impacting the Firm's business activities.
  • Drafting and updating policies and procedures, as required.
  • Preparing and delivering compliance training.
  • Providing advisory support in connection with Compliance monitoring and testing activities as part of second line oversight of the Firm's compliance with applicable regulation, and policies and procedures.
  • Supporting Firm ESG-related initiatives and projects requiring Compliance involvement.
  • Supporting Asia regulatory submissions and interactions relating to ESG matters, in conjunction with business and support functions.
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