Conduct Risk Officer - Director/VP 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 Compliance Department is part of the Legal & Compliance Division and 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, Research and Investment Management Business across the EMEA region.
Team Profile The Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including sales, trading, research, investment banking, capital markets, financial, administration and infrastructure st...
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The Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including sales, trading, research, investment banking, capital markets, financial, administration and infrastructure staff.
The Department provides general transactional guidance and advice to Business Units and other staff, implements compliance policies as required, and provides training. It also undertakes surveillance activities and utilises exception reports to monitor and, where appropriate, investigate Firm, customer and employee trading activity. The Department is also called upon to render advice on the rules and regulations of FCA, exchanges and other bodies; and Firm policies and procedures.
Primary Responsibilities The individual will provide support to the operation of the Firm's Conduct Risk Framework across the EMEA region and in ensuring that it alight (where appropriate) to the Conduct Risk Frameworks in the Americas and Asia Pacific/Japan regions. The principal duties will include: - Supporting the EMEA Conduct Risk Committee - Preparing reporting to the MSI Board Risk Committee and to the Conduct Risk Officers of the various Divisions - Collation of regular conduct MI to Legal and Compliance senior Management - Liaison with the Global Head of Conduct Risk in New York - Oversight of the annual conduct risk assessment and related reporting - Reporting of conduct rule breaches to FCA/PRA in a timely way - Development and potentially delivery of Conduct Risk training to EMEA staff - Ensuring roles and responsibilities are clear between the Conduct Risk team and Compliance Coverage teams - Preparation of Senior Management for the annual conduct risk meeting with the FCA
Primary Contacts The individual will be in close contact with senior business unit and Infrastructure staff within the Firm and with colleagues throughout Legal & Compliance and HR.
Skills required (essential) - The ideal candidate will be degree educated or equivalent - for this role we are particularly keen to speak to candidates who are legally trained - Experienced compliance or law professional with experience dealing with regulatory or conduct investigations and regulators - The role requires the ability to build relationships of trust with the business as well as other support and control functions - The candidate will need to be mature and confident, with initiative, excellent judgment, strong analytical and communications skills and a team player
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.
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