Regulatory Enquiries Compliance Officer - AVP

Morgan Stanley ,
Glasgow, City of Glasgow
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Overview

Job Description

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 offices in more than 41 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 a strong team ethic. Morgan Stanley provides a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They help preserve the Firm's invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses. Role Description Regulators and exchanges continue to enhance their monitoring and oversight of the financial sector. One outcome of these enhancements is that requests for information from regulatory bodies have increased in number, scope and complexity. Morgan Stanley has established a dedicated regulatory enquiries function to coordinate the Firm's response to these requests. The focus of the role will be to work closely with one other team member and the team leader to review and respond to requests from regulators and exchanges pertaining to EMEA business lines for trading and other information. Primary Responsibilities - Manage the recording of all enquiries in the central repository. - Review and respond promptly to enquiries related to EMEA Institutional Securities and Investment Management business units. - Work closely with colleagues in Surveillance located in London and offshore to perform due diligence on enquiries. - Conduct data analysis and work closely with colleagues in Compliance coverage, Operations and IT to understand trading flows in order to respond to detailed queries. - Draft clear and concise tailored responses to bespoke, sometimes complex, requests. - Liaise with regulators and exchanges to clarify requests and communicate responses. - Ensure enquiries are responded to in a timely manner. - Support overseas offices on enquiries received from local regulators. - Coordinate with senior stakeholders in Business Unit Risk, Compliance management, Regulatory Relations and Global Financial Crimes to escalate significant matters as appropriate. - Assist in the production and enhancement of MI reporting. - Assist in the delivery of ad-hoc projects or initiatives. The reporting line will be to the team leader and EMEA Head of Surveillance and Regulatory Enquiries. Skills Required - Excellent communication skills; able to communicate clearly, concisely and effectively, both in person and in writing, to a range of stakeholders at all levels. - Strong organisation, prioritisation and well-developed execution skills; capable of managing competing deadlines and prioritising a varied workload. - Excellent attention to detail. - Strong analytical skills; experience of analysing large data sets to identify patterns, potential anomalies and other exceptions. - Able to build strong working relationships with key stakeholders across Compliance, Legal, and Business Unit Risk. - Ability to work well in a team as well as autonomously to meet regulatory deadlines. - Working knowledge of a range of asset classes and associated rules and regulations. - Risk identification; able to assess the context and specifics of a matter to determine whether it may present broader concerns. - Natural sense of curiosity and willingness to question the information provided to deliver a 'challenge processes and ensure responses are complete and accurate. - Enthusiasm and aspiration to learn and develop. - Degree educated (or overseas 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

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