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 The Compliance Registrations team are responsible for the prompt implementation of internal processes and procedures to ensure that employee regulatory and exchange registrations and terminations are progressed swiftly and efficiently and that the Firm is compliant with competency obligations, and specific exchange rules as related to trader registrations.
Primary Responsibilities The candidate will report to the Head of Compliance Registrations for the EMEA region.
The candidate will have a good understanding of the various aspects of the Compliance Registrations function including but not limited to: -Approved Persons Regime; -Senior Manager and Certification Regime; and -Exchange registrations.
As part of the day-to-day responsibilities, the candidate will: -Oversee the registration process for new hires/internal transfers and monitor ongoing progress; -Oversee monthly data reconciliation between internal and external systems, regulators and exchanges; -Oversee the periodic update of exchange and regulatory procedures ; -Review and provide sign-off for exchange registrations and terminations; -Provide day to day guidance to business unit contacts and HR in relation to the Firm's registration process; -Assist with the implementation of new or existing registration and exchange processes and controls; and -Assist with other ad-hoc tasks required
Skills required The ideal candidate should possess the following skills and qualities: -Registrations experience in financial services with a leading bank, securities house, regulator or consultancy practice, with particular focus on exchange registrations and terminations -Team management experience -Good communication skills - able to present matters succinctly to a range of audiences (both within Legal and Compliance and across the Firm's other Divisions) -Strong interpersonal skills - working with staff and external stakeholders of all seniority -Advanced excel skills, including preparation of management information reports -High attention to detail -Ability to remain focused under pressure -Ability to perform multiple tasks simultaneously -Degree educated 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.