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 legal and regulatory requirements, transactions, new products and other business and infrastructure initiatives
    • Provide 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, test checks, desk reviews and investigations
    • Monitor adherence to compliance-relevant regulatory rules via ongoing controls, test checks and desk reviews
    • Conduct investigations with respect to any potential employee misconduct/breach of rules and regulations
  • 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 regulators and auditors
    • Liaise with internal and external auditors
    • Provide input to responses to inquiries from Exchanges and regulatory bodies
  • Outsourcing
    • Coordinate and oversee Compliance  outsourcings of MSBAG

QUALIFICATIONS

Experience Required

  • Experience in Compliance with a leading international bank, Asset Manager or in another financial institution
  • Knowledge of German and European banking and securities law/regulation (including rules around Investment Banking, Sales & Trading, algorithmic trading, asset management, ie UCITS / AFMD and the prevention of Market Abuse)
  • 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

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