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.
Role Profile The member of the Compliance Team will work on all aspects of Compliance in support of Morgan Stanley's various business units operating in Germany. The individual will ensure that the organisation acts in compliance with internal policies, external rules and regulations, in particular relating to European and German banking, securities and money laundering. Ultimately, the objective of the role is to help protect Morgan Stanley's franchise.
The role will be based in London but will include a significant element of travel to Frankfurt.
Advice and training - Provide guidance and advice on legal and regulatory requirements, transactions, new products and other business and infrastructure initiatives - Provide training to employees on a regular basis on their duties under the applicable laws and regulations as well as under Morgan Stanley's policies
Monitoring, test checks, desk reviews and investigations - Monitor adherence to compliance-relevant regulatory rules via ongoing controls, test checks and desk reviews - Conduct investigations with respect to any potential employee misconduct/breach of rules and regulations
Rule interpretation and implementation of procedures and processes - Ensure implementation of processes/procedures comply with laws and regulations - Ensure policies and procedures are drafted and updated accordingly
Contact with regulators and auditors - Liaise with internal and external auditors - Provide input to responses to inquiries from Exchanges and regulatory bodies
Outsourcing - Coordinate and oversee Compliance outsourcings of MSBAG
- Experience in Compliance with a leading international bank, Asset Manager or in another financial institution - Knowledge of German and European banking and securities law/regulation (including rules around Investment Banking, Sales & Trading, algorithmic trading, asset management, ie UCITS / AFMD and the prevention of Market Abuse) - Familiarity with some or all of the business lines operating in Morgan Stanley's German operation (Institutional Sales and Trading, Investment Banking, Investment Management) - Fluent in German and English - Degree in Law or Business Administration
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