EMEA Private Side and Research Compliance - Associate

EMEA Private Side and Research Compliance - Associate

Job Number:

3234692

POSTING DATE: Apr 4, 2023 PRIMARY LOCATION: Europe, Middle East, Africa-United Kingdom-United Kingdom-London EDUCATION LEVEL: Bachelor's Degree JOB: Compliance EMPLOYMENT TYPE: Full Time JOB LEVEL: Associate

DESCRIPTION

EMEA Private side and Research Compliance - Associate London 3234692 About Morgan Stanley Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. 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. We 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
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 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.

Primary Responsibilities
A role has arisen for an associate in EMEA Private Side and Research Compliance. Reporting to the lead coverage officer of Research, the individual will assume several operational responsibilities. These include:

> Providing compliance coverage for Research and the Private Side (EMEA Investment Banking Division and Global Capital Markets).
> Contributing to compliance policy and procedures development.
> Providing advice and interpretation of Morgan Stanley's policies and regulatory requirements. Responding to questions from the business in a timely manner, collaborating with other LCD teams to incorporate their views where appropriate.
> Delivering targeted and thematic reviews to support the delivery of the team's overall Compliance Plan.
> Conducting manual monitoring and working with the central testing team to deliver a comprehensive compliance testing programme across EMEA Private Side and Research Compliance.
> Developing compliance training.
> Assisting with the annual Compliance Risk Assessment process in EMEA.
> Building relationships and networks across the Firm to develop a role as a trusted adviser to business and Legal and Compliance management.
> Working with the Regulatory Enquiries team in responding to regulatory requests and investigations of deal leaks.
> Working with the Compliance Governance team on compiling compliance metrics to provide business management with timely and relevant data to support their business oversight.

QUALIFICATIONS

Internal Applicants: Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here. Equal opportunities statement: Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.