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EMEA Investment Banking Division Compliance Officer - Vice President / Executive Director
Morgan Stanley
London, , United Kingdom
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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
The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (fixed income, commodities, equities), Investment Banking, Research Investment Management and Private Wealth Management Business across the EMEA region.
Primary Responsibilities
A role has arisen for a Vice President/Executive Director to provide compliance coverage to the EMEA Investment Banking Division.
Reporting to the Head of Private Side, Research and Control Group Compliance, the individual will assume a number of operational responsibilities.
-Supervising one member of staff to ensure their work is delivered to the required standard; providing guidance, oversight and support to facilitate their career development.
-Providing primary compliance coverage for EMEA Investment Banking Division (IBD), coordinating with key stakeholders across EMEA Legal and Compliance to provide comprehensive coverage to IBD and the private side more generally.
-Supporting IBD Management in their oversight and control of the business wherever compliance concerns arise, escalating any breaches, findings and other incidents in real time.
-Representing EMEA on global practice calls with coverage officers in the Americas, APAC and Japan, identifying topics for discussion and areas of best practice.
-Contributing to and leading compliance policy development and implementation.
-Working with the central monitoring and testing team, design and deliver a comprehensive compliance monitoring and testing programme across EMEA IBD.
-Establishing themselves as one of the key points of contact for the Firm’s relationship with the UKLA.
-Developing and delivering general and targeted compliance training courses.
-Leading the annual Compliance Risk Assessment for EMEA IBD; contribute to setting and delivering the IBD Compliance Plan.
-Acting as a key contact within LCD for all IBD queries and activities, respond to questions from the business in a timely manner, working with other compliance teams to incorporate their views where appropriate.
-Build relationships and networks across the Firm to develop a role as a trusted adviser to business and Legal and Compliance management.
Qualifications
Skills required (essential)
-Previous, proven professional experience. Some of this experience must be in either a compliance, legal or relevant financial services environment.
-Exceptional oral and written communication skills. Candidates must possess a demonstrable ability to: distil complex and detailed information; present information clearly in Word, PowerPoint and Excel; draft business memos.
-Strong organisational skills and experience of prioritising their own workload based on variable factors, reassessing those judgments in light of changing requirements and workload. Previous experience of managing multi-stakeholder projects.
-Exceptional execution skills.
-Impeccable interpersonal, client-service, negotiation and influencing skills.
-Track record of exercising sound and independent judgment and ability to identify which issues require escalation.
-Educated to degree level or equivalent.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise 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.