Compliance & Anti-Financial Crime
Leadership | Insight | Network

EMEA Compliance Officer – Morgan Stanley, South London, United Kingdom

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

Reporting to the EMEA Head of Compliance for Morgan Stanley at Work (MSAW), the Compliance Officer will be responsible for assisting the EMEA MSAW business in managing regulatory risks and protecting the franchise by ensuring the business compliance with laws, regulations, rules and internal policies and procedures.

The role will primarily support Solium Capital UK Limited, an FCA regulated entity which provides stock plan administration services to companies.

Major Functions Include

> Advise the MSAW business on all regulatory compliance matters> Intake and initial assessment of regulatory changes

> Work closely with MSAW on new business proposals.

> Develop and maintain policies and procedures to facilitate compliance with laws, regulations and rules

> Conduct monitoring and testing> Conduct training on compliance policies and procedures

> Assist in regulatory filings

> Work closely with 1st line Supervisors

> Conduct ongoing compliance 2nd line oversight and testing and provide reporting to senior management

> Provide guidance to facilitate compliance with applicable UK and European legislation including MAR and MiFID II

> Represent Compliance on various internal governance and business review committees

> Knowledge of key UK and European regulations

> Working knowledge of rules and regulations relevant to Transaction Reporting, Client Assets, Complaint Handling and Data Protection would be extremely beneficial

> Excellent verbal and written English communication skills> Strong analytical skills, thoughtful and detail-oriented

> Ability to work within a team and act independently> Fast learner and ability to adapt in a fast-paced environment

> Relevant working experience in Compliance/Risk/Consulting within the financial services industry or at a regulatory body

Apply Here
AML Intelligence
We hope you enjoyed reading this article

If you would like unlimited access to AML Intelligence premium articles, newsletter delivered twice a week, access to our Global Bank Fines and Penalties database, free access to Boardroom Series events and much more, select one of our subscription options and become a subscriber!