EMEA Compliance - Investment Management Coverage - Vice President
Morgan Stanley
Middle East
منذ 6 يوم

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

Morgan Stanley has leading franchises both globally and regionally in EMEA, including a new European Group hub in Germany.

The European Group Legal and Compliance Department is charged with day-to-day oversight and coordination of the Group’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 businesses.

Team Profile

MSIM is a leading worldwide asset management business, offering investment management services to global investors in equity, fixed-income, asset allocation and alternative investment products including private equity, venture capital and real estate opportunities on a worldwide basis.

MSIM offers its products through traditional fund vehicles (such as UK OEICs, Luxembourg SICAVs and US Mutual Funds), alternative fund vehicles and as separately managed institutional accounts.

The MSIM Legal and Compliance Division is responsible for providing legal and regulatory support for all aspects of the European, Middle East and Africa (EMEA) Investment Management business.

We are looking to appoint a permanent team member within the Advisory coverage group of the Morgan Stanley Europe S.E. Compliance team in Frankfurt.

MSIM’s EU based private real estate and infrastructure teams are part of the German headquartered Morgan Stanley Europe S.

E. group. The Frankfurt team work closely with the rest of the EMEA MSIM Compliance team, which is based in London, Dublin and Luxembourg.

Primary Responsibilities

This role is in the Advisory Compliance coverage group in Morgan Stanley Europe S.E, based in Frankfurt. You will be part of the broader Investment Management coverage team, with a particular focus on supporting the private real assets and infrastructure teams.

You will work closely with the EMEA Head of Private Side Investment Management Compliance, based in London and the Head of Business Unit Coverage, based in Frankfurt.

In addition, you will provide day to day compliance support to MSIM’s German sales team, which markets Morgan Stanley’s public and private investment capabilities to institutional investors across Germany.

You will participate fully in delivering the Compliance programme within the Investment Management business, which covers various areas and may include the following :

  • Compliance support for Morgan Stanley’s legal entities and branches in Germany, including the non-German branches where investment management staff are located;
  • Creating and maintaining relevant Compliance procedures and policies;
  • Providing advice pertaining to aspects of Compliance procedures and policies to various parts of the investment management business;
  • Support for the German branch of Morgan Stanley Fund Management (Ireland) Limited;
  • Oversight of regulatory filings and compliance with German requirements, insofar as they pertain to investment management
  • Review and approval of marketing and financial promotion material;
  • Participation in the programme that ensures MSIM employees are adhering to Outside Business Interest and Personal Account Dealing policies;
  • Undertaking oversight and quality assurance tests of the first line business activities;
  • Liaison with Central Compliance groups e.g. Financial Crime Compliance Unit;
  • Participation in Compliance reviews of parts of the MSIM business; and
  • Completion of Compliance certifications.
  • Technical skills

    We are looking for a compliance officer with a minimum of two years’ experience in asset management. The ideal candidate will be able to demonstrate :

  • Sound retail and institutional asset management regulatory knowledge;
  • Knowledge of the European framework for management companies and UCITS / AIF funds and / or knowledge and experience of MiFID and the marketing of funds, public and private, in Europe;
  • Practical experience of working in a cross-regional context, ideally including exposure to private funds, whether private equity, real estate, infrastructure or private credit;
  • Whilst not essential, some experience of supporting private equity transactions would be helpful
  • Soft skills

    You are driven, a good team player and your analytical & communication skills are first rate. You remain composed under pressure, are able to effectively manage and prioritise competing priorities and work to tight deadlines while managing expectations.

    You have excellent attention to detail and are naturally inquisitive. You are comfortable operating in a dynamic environment involving liaison with MSIM colleagues globally and within Morgan Stanley’s Compliance division more broadly.

    Communication with colleagues across borders and engaging with internal clients remotely is a key part of this role. Familiarity with the complexities of operating within a global business model would be an advantage.

    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.

    Given the continued spread of COVID-19 (coronavirus), all interviews will be conducted by phone or virtual connection to protect our candidates and employees.

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