EMEA Infrastructure Compliance - Director
POSTING DATE: Jan 23, 2023
PRIMARY LOCATION: Europe, Middle East, Africa-United Kingdom-United Kingdom-London
EDUCATION LEVEL: Bachelor's Degree
JOB: Other
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Director
Team Profile
The Infrastructure Compliance Function is part of the Global Shared Services Compliance Group and is responsible for the second line oversight of infrastructure based regulatory processes supporting the EMEA Morgan Stanley businesses. The team also provides broader compliance support and advice to Morgan Stanley's infrastructure areas. Core areas of coverage include, but are not limited to: Transaction Reporting, Client Reporting, Record Keeping, Client Assets, Client Categorisation, Voice Recording, Disclosure of Interest and Outsourcing and broad compliance support across Operations, Technology and Finance.
Primary Responsibility
Compliance Advisory
Providing advisory support and coverage across the various regulatory obligations overseen by the team including operations compliance, margin, client categorisation, voice recording, electronic communications and record keeping. The role requires the candidate to provide oral and written advice to stakeholders. Such advice may be general in nature or specific, for example, to regulatory change, transactions, new business initiatives, ordinary course of business enquiries and exceptional situations.
Strategic Projects & Initiatives
Participate in / lead as appropriate strategic projects and initiatives with other legal and compliance professions, including helping to scope projects, deliver workstreams and implement action plans.
Monitoring
Providing support and coverage in regard to the Infrastructure teams monitoring and oversight programme which includes overseeing and undertaking specific checks to monitor compliance with relevant Regulations and internal policy.
Skills required (essential)
- Strong working knowledge of Operations / Infrastructure Compliance requirements for example MiFID and EMIR.
- Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing.
- Strong collegial approach with ability to build relationships of trust with members of the Legal and Compliance department and employees in the business unit and support & control functions.
- A clear and logical thought process with a propensity to question facts and data.
- High level of attention to detail and a passion for excellence.
- Excellent analytical and numerical skills.
- Confidence to use own initiative and apply judgment.
- Ability to remain focused under pressure.
- Ability to perform multiple tasks simultaneously.
- Enthusiasm and aspiration to continue to learn and develop.