EMEA Disclosure of Interest Director
- Glasgow, Scotland, United Kingdom
- Permanent, Full time
- Morgan Stanley
- 21 Jan 18 2018-01-21
See job description for details
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.
The Operations division is both the first line of defence for protecting Morgan Stanley's financial and reputational well-being, and an essential partner contributing to the firm's growth. Facing off to all Morgan Stanley businesses and interacting with all other parts of the Firm, the Operations division supports a complex, multi-faceted portfolio of businesses in full compliance with regulatory guidelines and the directives of the Operating Committee and Board of Directors.
Members of the Operations team have a unique vantage point as the division touches all parts of the business, front to back. One of the largest divisions in the firm, Operations has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, we continually strive to improve while actively supporting the development of new businesses, structures and markets.
Operations Risk and Regulatory Control (ORRC) is responsible for the Risk and Control Framework across Operations and ensures the establishment of effective industry leading controls through structured risk identification and the proactive review of global Operations processes.
The team is focused on the reduction of Operational Risk, ensuring the set up and management of appropriate governance forums encompassing Operations and Sales and Trading management, partnership with Firm-wide resources and leadership of direct risk reduction programmes.
ORRC performs complex, multi-product regulatory reporting and ensures the appropriate guardianship of client assets.
The team is an interface between Operations, Regulators, internal and external Auditors, Firm-wide risk (ORD) and Legal and Compliance.
We currently have a fantastic opportunity for an enthusiastic individual in a dynamic and fast moving environment. As part of the EMEA Disclosure of Interest (DOI) team you will be focused on fulfilling regulatory requirements for the whole of Europe Middle East and Africa, which include the monitoring and reporting of Substantial Shareholder, Short selling and Takeover Panel (M&A) positions., You will be at the forefront of ensuring Morgan Stanley meets its monitoring & reporting requirements demonstrating a can do attitude. This role is business critical and requires someone who enjoys working as part of a team and is able to build excellent working relationships with key stakeholders which include internal legal/compliance contacts, APAC/US DOI colleagues, technology support, issuers and regulators. This is a unique opening for someone wishing to embark on a rewarding career with a leading global financial services firm.
The candidate should expect to build an intricate knowledge of rules and regulations pertinent to the team, firm systems and data sources, as well as the processes that are in place to ensure compliance with regulations.
The individual will have diverse responsibilities, including but not limited to:-
- Learning and performing functions in order to be able to manage and perform checking of workings/disclosure processes performed by team members to ensure the highest standards of accuracy are reached.
- Ensuring the team achieve tight daily reporting and disclosure deadlines by organising and managing the team's workload.
- Building a detailed understanding of each process, ensuring accurate filings to made to the regulators.
- Acquiring an intricate knowledge of firm booking models, systems, data sources and processes, building the ability to understand the wider environment and question data integrity.
- Identification and implementation of process improvements
- Identification, mitigation, escalation and reporting of potential/current risks.
- Providing support to other members of the team.
- Close communication with stakeholders including our dedicated compliance team and the business unit.
- People management including coaching, career development and performance feedback.
- Managing the relationship with our vendors at TCS, Chennai (provide 2 employees currently).
- Contributing to ongoing change projects affecting the team.
- Ensure the team adhere to firmwide and operations policies and procedures
Skills required (essential):
The ideal candidate should have:-
- Excellent verbal and written communication abilities
- Superb attention to detail, accuracy & quality.
- Proven management experience. Skills in delegation, organisation and people management to ensure the team works effectively and efficiently.
- Strong time management and task prioritisation skills. Willing to work additional hours to ensure all deliverables are performed within required timescales.
- Strong sense of urgency, accountability and ownership
- Focus on guardianship, ensuring that issues are identified, escalated, resolved and reported on a timely basis
- A positive outlook, energy and enthusiasm. Is a self-starter who takes individual ownership for work quality and improvement. Leads by examples working with drive and determination
- Ability to work well under pressure, lending control and order to a difficult or pressurised situation
- Ability to absorb information and learns quickly
- Innovation and creative skills - challenges the existing processes and status quo.
- Excellent inter-personal skills
- Diversified financial services product knowledge - particularly in Equity products
- Proficient in Microsoft Office
- Advanced knowledge of Morgan Stanley trade flows and operational models
- Advanced level of regulatory understanding
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-AM1