Operations Risk & Regulatory Control - Regulatory Oversight - Associate/AVP
Morgan Stanley
Middle East
منذ 4 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

The Operations division is both the first line of defence for protecting Morgan Stanley's financial and reputational well-being, and an essential partner contributing to the firm's growth.

Facing off to all Morgan Stanley businesses and interacting with all other parts of the Firm, the Operations division supports a complex, multi-faceted portfolio of businesses in full compliance with regulatory guidelines and the directives of the Operating Committee and Board of Directors.

Members of the Operations team have a unique vantage point as the division touches all parts of the business, front to back.

One of the largest divisions in the firm, Operations has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions.

Throughout, we continually strive to improve while actively supporting the development of new businesses, structures and markets.

Team Profile

Operations Risk & Regulatory Control (ORRC) is responsible for the Risk and Control Framework across MSESE & MSBAG Operations and the establishment of effective controls through structured risk identification and the proactive review of Operations processes.

Operations Regulatory Oversight (ORO) is a function within ORRC responsible for implementing and maintaining compliance with Operations-specific regulatory requirements including regulatory reporting.

Primary Responsibilities

  • Implementation and execution of Statistical and Regulatory reporting for Competent Authorities (Bundesbank, BaFin, ECB)
  • Design and development of a regulatory governance framework incl. embedding and testing of its effectiveness
  • Analysis of current and upcoming regulatory requirements with a potential impact on Operations
  • Coordination of external / regulatory audits
  • Support the organization’s risk and control change agenda that enables continued regulatory compliance and / or process and control improvement #LI-AH1
  • Skills Required

  • University degree in Economics, Business Administration or equivalent
  • Comprehensive knowledge of the European and German regulatory landscape with focus on Operations
  • Relevant experience in Operations, Compliance or Risk Management preferably gained in one of the Big Four professional services networks (Consulting / Advisory / Audit services)
  • Proven record in the implementation of regulatory requirements (i.e. MiFIDII, EMIR, SFTR) for the Banking, Capital Markets and / or Asset Management industry with involvement in project management and delivery
  • Outstanding analytical and procedural capabilities
  • Strong stakeholder engagement, including internal Business partners, external clients and other infrastructure areas.
  • Ability to challenge and influence effectively at all levels of the organization, as well as externally at industry forums.
  • Willingness to learn the intricate details of applicable regulatory requirements and ensure full compliance at all times
  • Ability to work under pressure and achieve results, whilst maintaining a professional, friendly and client-focused approach.
  • Language skills : fluent in written & spoken English is required
  • 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.

    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-AH1

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