Compliance Sales & Trading Coverage – Vice President/ Executive Director
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 greater 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 Frankfurt Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory requirements covering all EEA businesses operating in Germany including Institutional Sales and Trading (Equities, Fixed income and Commodities, including E-Trading), Investment Banking, Global Capital Markets and Investment Management.

The Department provides advice on compliance matters including for new products and businesses and interpretation of rules and policies, develops and implements compliance policies and procedures, and provides relevant training.

It also maintains the rules management and compliance risk management frameworks, undertakes testing activities and utilizes exception reports to monitor and, where appropriate, investigate Firm, customer and employee activity.

Team Profile

The Frankfurt Compliance Coverage team provides advice and ongoing transactional and regulatory support to the EEA businesses operating in Germany (as specified above).

The role will report into the Head of Frankfurt Compliance Coverage and the overall team comprises approximately five individuals.

The role will involve close liaison with the equivalent Compliance Coverage teams and other Compliance subject matter experts in London as well as in the other EEA jurisdictions in which Morgan Stanley has a presence.

The role will be based in Frankfurt.

Primary Responsibilities The role involves :

  • advising the EEA businesses operating in Germany on compliance with internal policies and external rules and regulations, including in particular those relating to European and German banking and securities rules and regulations
  • maintaining and updating relevant Compliance policies so that they reflect current regulatory requirements
  • delivering training to the business on a regular basis on relevant laws and regulations as well as internal policies
  • reviewing and providing Compliance advice on new business initiatives from a local and European regulatory, best practice and Firm perspective
  • executing manual monitoring checks to assess adherence to compliance-relevant regulatory rules
  • co-ordinating responses to relevant enquiries from exchanges, regulators and other regulatory bodies
  • contributing to the implementation of new regulatory requirements
  • overseeing and supervising relevant Compliance owned outsourcings
  • liaising with internal and external auditors
  • Qualifications

    Skills required (essential)

  • Relevant experience in Compliance with a leading international financial institution
  • Familiarity with Institutional Sales and Trading business and preferably also Investment Banking
  • Good understanding of regulatory requirements including German banking and securities law / regulation
  • Fluent in German and English
  • The successful candidate should also be able to demonstrate :
  • a practical and pragmatic approach
  • good organisation skills with a focus on being solution-oriented
  • an ability to remain focused under pressure
  • an ability to work well in a team and to collaborate with other functions
  • excellent communication skills
  • Skills desired

  • Degree in law, business administration, finance, science or similar would be preferable although not essential
  • Given the continued spread of COVID-19 (coronavirus), all interviews will be conducted by phone or virtual connection to protect our candidates and employees.
  • LI-SC1

    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.

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