Compliance Professional (Legal and Compliance) : Job Level - Associate
Compliance Professional (Legal and Compliance) : Job Level - Associate
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Job Description
The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firms compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (fixed income commodities equities) Investment Banking Research Investment Management and the Infrastructure Divisions.
Team Profile
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 Stanleys infrastructure areas. Core areas of coverage include but are not limited to: Transaction Reporting Client Reporting Record Keeping Client Assets Client Categorisation Voice Recording Disclosure of Interest and Outsourcing and broad compliance support across Operations Technology and Finance.
Primary Responsibility
Monitoring
Providing support and coverage in regard to the Infrastructure teams monitoring and oversight programme which includes undertaking specific checks to monitor compliance with relevant Regulations and internal policy.
Compliance Advisory
Providing advisory support and coverage across the various regulatory obligations overseen by the team including Operations coverage areas such as Margin Confirms and Statements Portfolio reconciliation Compression alongside others. The role requires the candidate to provide oral and written advice to stakeholders. Such advice may be general in nature or specific for example to regulatory change transactions new business initiatives ordinary course of business enquiries and exceptional situations.
Strategic Projects & Initiatives
Participate in / lead as appropriate strategic projects and initiatives with other legal and compliance professions including helping to scope projects deliver workstreams and implement action plans. Skills required (essential)
-Experience in undertaking assurance/testing checks.
-Strong working knowledge of Operations / Infrastructure Compliance requirements for example EMIR and MiFID(desired).
-Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing.
-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.
-Excellent analytical and numerical skills.
-Confidence to use own initiative and apply judgment.
-Ability to remain focused under pressure.
-Ability to perform multiple tasks simultaneously.
-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 - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll 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. Theres also ample opportunity to move about the business for those who show passion and grit in their work.
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Certified Persons Regulatory Requirements:
If this 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.
Required Experience:
IC
Employment Type
Full-Time
