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.
Background on the Team As a member of the EMEA Compliance Testing Team, the focus of this role will be helping to deliver the Department's Compliance testing work, targeting Compliance resources at higher risk areas to gain assurance about the strength of the Firm's internal governance, risk management and controls.
The testing programme covers the EMEA Sales & Trading business (equities, fixed income, commodities), Investment Banking/Global Capital Markets, Research, Investment Management, Merchant Banking, Compliance and Infrastructure areas. Testing considers the adequacy of the design of the Firm's controls in relation to particular risk areas and then tests whether the Firm's controls are working as intended.
Primary Responsibilities -Assist with the design and delivery of a portfolio of Compliance Tests / Reviews to monitor compliance with Regulations and Morgan Stanley Policies and Procedures. Ensure the Firm takes a risk based approach and proportionate approach to scoping tests and complete testing efficiently to make the best use of available resources. -Contribute to global discussions on testing matters and sharing best practices. -Assist the oversight of tests completed by non UK EMEA Testing teams.
Skills required (essential) -Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing. -Good analytical and numerical skills, for example reviewing trading data, looking for trends and exceptions in data. -Detail oriented and good memory skills; able to learn new concepts. -Broad understanding of the FCA Handbooks and Regulatory approach. -Prior experience of Compliance testing would be useful but not essential. -Knowledge of some of the businesses covered by the testing team and the relationship and regulatory risks associated with interaction between public and private side teams. -Ability to build relationships of trust with members of the Compliance department and employees in the business unit and support & control functions. -Ability to remain focused under pressure. -Ability to perform multiple tasks simultaneously. -Confidence to use own initiative and apply judgment in an in-house context. -Enthusiasm and aspiration to learn and develop.
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.*LI-FH1