Overview

The member of the Compliance Team will work on all aspects of Compliance in support of Morgan Stanley’s various business units operating in Germany. The individual will ensure that the organisation acts in compliance with internal policies, external rules and regulations, in particular relating to European and German banking, securities and money laundering. Ultimately, the objective of the role is to help protect Morgan Stanley’s franchise.

The role will be based in London but will include a significant element of travel to Frankfurt.

Key Responsibilities

Advice and training

  • Provide guidance and advice on regulatory requirements
  • Organise and administer training to employees on a regular basis on their duties under the applicable laws and regulations as well as under Morgan Stanley’s policies

Monitoring and testing

  • Monitor adherence to compliance-relevant regulatory rules via ongoing controls and test checks

Rule interpretation and implementation of procedures and processes

  • Ensure implementation of processes/procedures comply with laws and regulations
  • Ensure policies and procedures are drafted and updated accordingly

Contact with auditors

  • Liaise with internal and external auditors
  • Provide input to responses to inquiries from Exchanges and regulatory bodies

Outsourcing

  • Coordinate and oversee all outsourcings of MSBAG
  • Supervise compliance, AML and Fraud Prevention related outsourcings

QUALIFICATIONS

Experience Required

  • Experience in Compliance with a leading international financial institution
  • Knowledge of German banking and securities law/regulation including AML, Fraud prevention and Outsourcing
  • Familiarity with some or all of the business lines operating in Morgan Stanley’s German operation (Institutional Sales and Trading, Investment Banking, Investment Management)
  • Fluent in German and English
  • Degree in Law or Business Administration or similar

Key attributes

  • Good judgement
  • Practical and pragmatic
  • Well organised and able to adapt, solution oriented
  • Able to remain focused under pressure
  • Able to work in a team and to collaborate with other functions
  • Clear communication
  • Attention to detail
  • Assertive and persuasive
  • Motivated, proactive and self-starting
  • Discretion, integrity

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