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.
The German 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.
The member of the German Compliance Coverage Team will support Morgan Stanley’s various EEA business units operating in Germany.
The individual will advise the EEA businesses in Frankfurt on Compliance with applicable rules and ensure that the organisation acts in compliance with internal policies, external rules and regulations, in particular relating to European and German banking and securities rules and regulations.
Specific focus of this role is the Sales and Trading business, in particular e-Trading. This role will report into the German Group head of Private Side / Sales & Trading Compliance Coverage.
The role will be based in Frankfurt.
Advice and training to the Business Units
Ensure that Morgan Stanley meets the training requirements in relation to e-Trading requirements.
New Business Initiatives
Monitoring and testing
Rule interpretation and implementation of procedures and processes
Contact with auditors and regulators
Good understanding of regulatory requirements, in particular for electronic trading on a European (such as MiFID II) and local interpretations
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.