EMEA Investment Banking Division Compliance Manager

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Morgan Stanley
  • 21 Sep 16

The Morgan Stanley Compliance department are looking to hire an experienced professional to join the EMEA Private Side and Research Compliance team.

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.
 
Primary Responsibilities
A role has arisen for a Manager EMEA Private Side and Research Compliance. 

Reporting to the lead coverage officer of Investment Banking, the individual will assume a number of operational responsibilities. These include: 
-Providing 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.
-Working with the central monitoring and testing team, deliver a comprehensive compliance monitoring and testing programme across EMEA Private Side Compliance.
-Providing advice and interpretation of Morgan Stanley’s policies and regulatory requirements, working with Division lawyers, providing advice on Listing Rules, Takeover Code and other laws and regulations.
-Developing and delivering compliance training.
-Contributing to compliance policy and procedures development.
-Delivering reviews to support the delivery of the team’s overall Compliance Plan.
-Contributing to the annual Compliance Risk Assessment process in EMEA.
-Build relationships and networks across the Firm to develop a role as a trusted adviser to business and Legal and Compliance management.
-Working with the Regulatory Enquiries team in responding to regulatory requests and investigations of deal leaks.
-Working with the Conduct Risk Compliance team on the compliance metrics pack to provide business management with timely and relevant data to support their business oversight.
-Responding to questions from the business in a timely manner, working with other compliance teams to incorporate their views where appropriate.

Skills required (essential)
-Previous, proven professional experience.  Some of this experience must be from 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. 
-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.
-Solid product knowledge of main regulatory area (e.g. FCA COBS, Market Abuse, Information Barriers etc.)
-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.