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 MaRisk Compliance Team will support the MaRisk compliance team in all aspects of the function. The individual will help ensure that the organisation adheres to AT 4.4.2 of the MaRisk. 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.
Key Responsibilities Maintaining rules and control inventory - Coordinate with the responsible department heads in and outside of Germany to establish and maintain a complete and up to date rules inventory - Provide support in assessing corresponding inventory of controls - Provide support in assessing the quality of the control environment
Escalation of identified control weaknesses - Identify control gaps or weaknesses and - Identify issues for escalation
Experience Required - Experience in the internal control functions with a leading international financial institution or relevant experience from the advisory side - Knowledge of German rules and regulations - Knowledge of regulatory landscape in Europe - 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
Key attributes - Good judgement - Practical and pragmatic - Well organised and able to adapt, solution oriented - Able to remain focused under pressure - Able to work in a team and to collaborate with other functions - Clear communication - Attention to detail - Assertive and persuasive - Motivated, proactive and self-starting - Discretion, integrity
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