Regulatory Reporting Compliance Officer - Director  …

Morgan Stanley
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Competitive
Morgan Stanley
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Competitive
See job description for details

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, and equities), Investment Banking, Global Capital Markets, Research and Investment Management across the EMEA region.

Team Profile

EMEA Investment Services Compliance (reporting to the Head of Regulatory Disclosures). The role will involve providing regulatory advice primarily to various business units, LCD and the operations regulatory reporting team on all issues relating to Morgan Stanley’s large shareholding, short selling, takeover panel and other related reporting responsibility.

Primary Responsibilities

The role will provide resourcing and management of key initiatives relating to short selling, large position disclosures and takeover panel disclosures across Sales & Trading (Equities, Fixed Income and Commodities).

The role will encompass a wide scope of products and Compliance activity. Examples could include:

• Renovating regulatory processes (e.g. involvement with the likes of transaction and other types of regulatory reporting)
• Interpreting rules and applying judgment on practical solutions
• Providing advice and guidance to the business units with regards to complex structured transactions
• Leading responses to FCA/industry focused initiatives (e.g. DTR consultation) and representing the Firm’s interests in industry working groups and coordinating internal action across S&T
• Involvement in regulatory visits and examinations

The role will also provide central coordination with respect to the Sales & Trading Compliance programme, including:
• coordination and design of management information across: policy work, training, key initiatives and issues and Compliance owned processes
• ensuring robust procedures and audit trails are properly maintained with respect to Compliance owned processes
• drafting of procedures, training decks or Compliance notices
• execution of key regulatory reporting initiatives across the business units, operations and LCD



Qualifications:


Skills required (Essential)

• Bright and enthusiastic individual ideally professionally qualified, e.g. law or accountancy graduate
• Product and investment banking knowledge (having worked in-house for an investment bank highly preferable)
• Good understanding of UK Compliance issues and relevant laws and regulations. 3 years + experience in large shareholder, short selling and/or TOP reporting role at a complex financial institution
• Excellent presentation skills - ability to communicate clearly and concisely both in person and in writing

The salary for this role is competitive.

The closing date for applications is 07/12/2019.

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.

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