Global Financial Crimes, Institutional Securities Group (ISG) Coverage Team, Manager/Director

  • Competitive
  • Singapore Singapore Singapore SG
  • Permanent, Full time
  • Morgan Stanley
  • 21 Apr 18 2018-04-21

See job description for details

Company Profile

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.

Department Profile

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.

Background on the Team

Morgan Stanley’s Global Financial Crimes (GFC) Group, an integral part of the global Legal and Compliance Division, is charged with day-to-day oversight and coordination of the AML and Sanctions Program covering all of the Firm's various businesses globally, including Institutional Securities (e.g. Investment Banking, Capital Markets, Institutional Equity Division, Fixed Income Division,) and Investment Management.

Headquartered in Hong Kong, the Asia GFC Group (including Japan) also includes dedicated personnel in Singapore and Tokyo.

The Firm is currently seeking a driven and seasoned professional to cover the Institutional Securities Group (ISG). This role is based in Singapore.


- Advise on, and resolve, potential AML issues arising across business units covered by the Asia Pacific Financial Crimes Group; significant interaction across all business units, and advising on AML compliance in Singapore
- Supervise know-your customer and client due diligence processes
- Monitor regulatory developments and drive implementation of new rules or requirements
- Stakeholder management and reporting of MI and KRIs
- Draft and implement appropriate AML policies and procedures
- Review and approve payment exceptions generated through the monitoring of client payments
- Management of day-to-day account opening issues, including approvals of high risk clients, waivers etc where required.
- Investigation and escalation of transaction monitoring alerts and queries
- Preparing filing of Suspicious Transaction Reports (STR)


Skills Required
- Bachelor’s degree
- At least 5 years of relevant experience in AML Compliance, Client Due Diligence or regulatory compliance work, preferably in a securities environment
- Experience in the securities or broker-dealer business
- Solid knowledge of securities as well as sales and trading products
- An analytical mindset with attention to detail
- Strong oral and written communication skills in English
- Fluency in Asian languages (such as Cantonese, Mandarin) advantageous
- Ability to independently interact with senior business management
- Strong team player and ability to operate in an international environment