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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 mission of the Compliance Department is to manage a Firm wide Compliance risk management program. The objectives of the Department are to:
- Promote a strong culture of compliance;
- Identify, measure, mitigate and report on Compliance risks;
- Maintain a risk-based program of compliance monitoring and testing coverage; and
- Provide management and staff with advice, guidance (including policies and procedures) and training concerning the laws, regulations and policies associated with their responsibilities.
- In order to accomplish the above, the key functions of the EMEA Compliance Department (“Department”) include:
- Maintenance of Compliance policies and procedures for EMEA;
- Provision of advisory services and training to Business Units (“BUs”) and certain areas within other Infrastructure functions as appropriate;
- Management of a program of Compliance monitoring and testing for EMEA;
- Execution of a Compliance Risk Assessment process/Risk Reporting Framework;
- Development of a risk-based EMEA Annual Compliance Plan prioritising Compliance obligations;
- Reporting on Compliance risks and activities as appropriate to EMEA Senior Management; and
- Maintenance of a Compliance function that is independent and effective.
The EMEA Compliance Policy and Training (P&T) team is responsible for developing and overseeing the EMEA Compliance Training and Policy Framework The team’s activities fall into the categories of activities noted below:
- Developing and overseeing the EMEA P&T Framework to ensure that there is a robust Programme which assists Compliance Coverage teams to manage their Policy and Training risks;
- Acting as a SME on Global P&T Frameworks and developments to ensure that EMEA Compliance remains aligned with the rest of the Firm;
- Project managing the development of key online trainings, which will include working with Compliance SMEs, Global counterparts and third party vendors
- Supporting Coverage Teams with the delivery of their face-to-face training and tracking progress to plan across a three year cycle
- Maintaining appropriate controls on the Policy lifecycle, this includes working with Compliance SMEs to ensure that policies are created, reviewed and decommissioned in line with governance requirements.
The candidate will report to the Director of the EMEA Compliance and Training Team.
- A non-people Manager role, providing support to the Director and VP on all Policy and Training related projects and initiatives, including assisting with oversight of an offshore team.
- Assist in managing the Compliance Annual Training Programme, working with key Stakeholders to identify training requirements, based on regulatory requirements and key risk themes and assist with the creation of Training's to the Business.
- Work with internal Stakeholders and external vendors in the development of online Compliance training modules, ensuring they meet the training needs of the business and comply with Firm and EMEA standards.
- Coordinate the internal Compliance Development Programme, manage logistics, tracking and reporting.
- Provide day to day guidance to key stakeholders in relation to Policy and Training processes.
- Assist with the implementation of new or existing processes and controls.
- Prepare regular MI for internal management and the business, providing oversight of the programmes, including key training metrics
- Responsible for the ongoing Reconciliation Programme, ensuring training is delivered on time, to the correct population, reconciling data from multiple sources using Excel
- Assist with the management of the Annual Compliance Policy Plan, ensuring Policies are reviewed and issued in a timely manner and in the correct format.
- Manage the periodic update of Policy and Training team policies and procedures.
- Assist with other ad-hoc tasks required Qualifications:
The ideal candidate should possess the following skills and qualities:
- Previous experience working in a financial services institution, Law Firm or consulting firm required
- Good written and verbal communication skills
- Good analytical, organizational and project / process management skills
- Strong interpersonal skills and the ability to forge relationships with staff across the Department / Firm at various levels of seniority
- Ability to remain focused under pressure, perform multiple tasks simultaneously and provide attention to detail
- Intermediate knowledge of Excel required in order to reconcile data over multiple sources using V-Look ups, Graphs and Pivots
- Good knowledge of PowerPoint required to create presentations for management including formatting and Smart Art
- Previous experience in Policy management an advantage
- Previous Compliance, Risk or regulatory experience would be an advantage
- 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.
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.