This job has expired, please see additional jobs below
EMEA Compliance Officer - Vice President
Morgan Stanley
London, , United Kingdom
Job Details - this job has expired, please see similar jobs below
Description
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.
Team Profile
The Compliance Governance function is primarily focused on supporting the EMEA Head of Compliance to run the Department. The team’s activities fall into the three broad categories of activities as noted below:
• Management and Co-ordination of strategic projects/initiatives- The team leads, manages or supports various projects and initiatives within the Department. The projects vary from year to year, but are aimed at improving the risk and performance of various functions within the Department, and in some instances, within the BUs.
• Planning and managing departmental Governance meetings- Effective planning and running of departmental Governance meetings (i.e. EMEA CMC and International CMC) so that management is focussed on the key risks/priorities.
• Management information (MI) - The team facilitates and/or coordinates the various MI and/or metrics for use within the Department, within the Global Compliance Function, by Firm Management and the relevant UK entity boards (e.g. Audit committee; Operating Committee)
• Management of Centralised Processes – The team leads, manages or supports various processes that the Firm or the Department requires to be completed. These activities include maintenance of relevant licenses and permissions, reporting to regulators, supporting the implementation of the Operational Risk framework, providing oversight of outsourced services and managing the budgeting processes.
The EMEA Compliance Governance team currently consists of 3 people working alongside all areas of the Compliance Department. This role will have exposure to a wider set of Compliance stakeholders and is an ideal opportunity to gain a broad overview of the Department and its functions, the range of Morgan Stanley’s businesses and the governance and organisation of the Firm.
Primary Responsibilities
• Assist with the co-ordination and management of strategic projects
• Take ownership for overseeing and tracking the EMEA Compliance budget and a number of Centralised processes
• Identify opportunities for simplifying and/or enhancing of processes and procedures across the department.
• Critically assess, challenge and review the effectiveness and efficiency of the relevant processes we manage, co-ordinate or take part in. Where appropriate, agree and implement viable enhancements and remedial plans.
• Assist with the Department’s Annual Compliance Risk Assessment (including Risk & Control Self-Assessment)
• Provide support to Department management on ad hoc projects and initiatives
• Identify and implement improvement opportunities within the function and the Department
Qualifications
Skills required (essential)
• Willingness to take on a diversified book of work and ability to learn quickly
• Strong analytical, organizational and project / process management skills
• Strong interpersonal skills and the ability to forge relationships with staff across the Department / Firm at various levels of seniority
• Ability to remain focused under pressure, perform multiple tasks simultaneously and provide attention to detail
• Good written and verbal communication skills
• Advanced knowledge of Excel and PowerPoint
• Previous experience working in a financial services institution or consulting firm
• Previous Compliance, Risk or regulatory experience would be an advantage
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.