Morgan Stanley Overview
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.
Legal And Compliance Division Overview
The professionals in the Legal and Compliance Division “LCD” provide a wide range of services to our business units. LCD is made up of the Legal, Regulatory Relations, and Non-Financial Risk departments which 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. We also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
Non-Financial Risk Organization Overview
The second- line Non-Financial Risk “NFR” organization includes the Compliance, Global Financial Crimes, and Operational Risk departments and provides a single, comprehensive, and consistent second-line view of these non-financial risks. Non-Financial Risk encompasses risks which are not financial in nature, and could have a potential economic, reputational, regulatory, financial reporting, or client impact from (i) failed or inadequate processes, data, or controls; ii) infrastructure or environmental factors; or iii) intentional or inadvertent actions of employees or external parties. The second-line NFR organization partners with the first-line business units to advise, train, manage, report, identify, analyze, and escalate non-financial risks.
Team Overview
The Infrastructure Compliance Function is part of the Global Shared Services Compliance Group and is responsible for the second line oversight of infrastructure based regulatory processes supporting the EMEA Morgan Stanley businesses. The team also provides broader compliance support and advice to Morgan Stanley’s infrastructure areas. Core areas of coverage include, but are not limited to: Disclosure of Interest, Transaction Reporting, Client Reporting, Record Keeping, Client Assets, Client Categorisation, Voice Recording and Outsourcing plus broad compliance support across Operations and Finance.
Role Overview
Compliance officer within the EMEA Compliance Infrastructure Coverage team, reporting to the Head of Regulatory Disclosures.
The role will involve providing regulatory oversight and challenge primarily to various business units, LCD and the operations regulatory reporting team on all issues relating to Morgan Stanley’s large shareholding, short selling, takeover panel and other related reporting responsibilities.
The role will provide oversight and challenge in relation to key initiatives relating to short selling, large position disclosures and takeover panel disclosures across ISG (Equities, Fixed Income and Commodities).
What You Will Be Doing
The role will encompass a wide scope of products and Compliance activity. Examples could include:
- Interpreting rules and applying judgment on practical solutions.
- Providing oversight and challenge to the business units with regards to complex structured transactions.
- Leading responses to industry focused initiatives and representing the Firm’s interests in industry working groups and coordinating internal action across S&T.
- Involvement in regulatory visits and examinations.
- Execution of 2LOD monitoring program across all related reporting responsibilities.
What We're Looking For
- Bright and enthusiastic individual ideally professionally qualified, e.g. law or accountancy graduate.
- Product and investment banking knowledge (having worked in-house for an investment bank highly preferable).
- Good understanding of EMEA Compliance issues and relevant laws and regulations.
- Two years + experience in large shareholder, short selling and/or takeover panel reporting role at a complex financial institution.
- Excellent presentation skills - ability to communicate clearly and concisely both in person and in writing.
- Confident, able to use initiative, excellent judgment, analytical, good communication and organisational skills.
- Strong collegial approach with ability to build relationships of trust with members of the Legal and Compliance department and employees in the business unit and support & control functions.
- A clear and logical thought process with a propensity to question facts and data.
- High level of attention to detail and a passion for excellence.
- Ability to remain focused under pressure.
- Enthusiasm and aspiration to continue to learn and develop.
What You Can Expect From Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Certified Persons Regulatory Requirements
If t his role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Flexible work statement
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.
