EMEA Enterprise Compliance – Associate

Location – Glasgow

JR028675

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.

Division Profile

The EMEA Legal and Compliance Division is charged with day-to-day oversight and coordination of the Firm’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 across the EMEA region.

Role Profile

EMEA Enterprise Compliance is primarily an internally focused team that manages a number of key frameworks which support the management of compliance risk.  This role will requires collaboration across the Division, offering broad exposure to stakeholders and insight into Morgan Stanley’s business, governance, and structure.

This role will support daily operations across the four key managed Enterprise Compliance frameworks:

• Training Framework and annual programme
• Licensing Framework
• Rules Management Framework
• Policy Framework

Primary Responsibilities

This role supports the daily operations associated with maintaining the Frameworks referenced above, ensuring processes are efficient and deadlines are met.  The role reports to the EMEA Head of Enterprise Compliance and involves regular interaction with senior staff and external vendors. The role may also assist other areas of the Enterprise Compliance Team. The role requires proficiency in PowerPoint, Word and Excel, including VLOOKUPs and pivot tables.  

Key responsibilities include:

• Training programme support, liaising with Compliance Coverage on training deliverables
• Reviewing regulatory rule feeds and key regulatory websites to identify emerging regulations
• Overseeing and processing regulatory change events in the Firm’s rules management tool
• Maintenance of relevant licenses and permissions
• Maintenance of the Policy framework and the team’s policies and procedures
• Management information (MI), creation of various MI and metrics
• Provide support on projects and initiatives as required
• Other tasks including shared inbox management and budget / invoice management

Skills required

• Professional and articulate with good communication skills
• Strong organisational skills
• Ability to work independently or as part of a team
• Strong Excel, Word and PowerPoint skills
• Strong attention to detail
• Ability to remain focused under pressure

Experience/Technical Skills required

• Intermediate to advanced knowledge of Excel e.g., pivot tables and Vlookups, Word, and PowerPoint
• Previous experience in financial services with a leading bank, securities house, regulator or consultancy practice in an operational, control or compliance function
• A law degree (or a degree including legal content) 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.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years.  Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Flexible work statement
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.

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.