Overview

Department Profile

The EMEA Legal and Compliance Department 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, equities), Investment Banking, Research Investment Management and Private Wealth Management Business across the EMEA region.

Background on the Team

Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm’s enterprise-wide financial crime prevention efforts.  GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm’s AML, Sanctions, Anti-Corruption and Government and Political Activities Compliance programs.  GFC also develops and/or assists in the development of appropriate policies and procedures, including those designed to assist the business units to know their clients and conduct appropriate due diligence and to prevent, detect and report potentially suspicious activity.  GFC has dedicated coverage managers and teams of analysts who advise and counsel each business unit regarding its AML, sanctions and anti-corruption obligations and its particular clients and transactions.

Primary Responsibilities

The Compliance Officer will report into the EMEA Anti-Corruption Group (ACG) Officer and will assist the EMEA ACG Officer in representing the global anti-corruption compliance program in the EMEA region, including regional implementation of global anti-corruption compliance strategy and processes. This role will also be required to assist the EMEA ACG Officer in delivery of significant non-ACG related projects, including in relation to Anti-Tax Evasion.

Specific job responsibilities will include:

  • Assist the EMEA ACG Officer in the implementation of the global anti-corruption compliance program across all business units in EMEA, including:
    • Provide subject matter expertise and guidance to business units on appropriate compliance with anti-bribery and anti-corruption laws, regulations, and policies;
    • Conduct review, pre-clearance, and monitoring of third party intermediaries;
    • Review escalations concerning certain client-related expenditures, including gifts and entertainment and charitable contributions;
    • Facilitate risk-based review of anti-corruption issues associated with offers of employment;
    • Liaise with GFC Legal Advisory on anti-corruption issues and the Firm’s anti-corruption program as a whole;
    • Provide input into and execute annual anti-corruption risk assessment;
    • Design and supervise monitoring and testing;
    • Identify and implement risk-based anti-corruption controls at majority-owned and controlled entities;
    • Create and deliver targeted anti-corruption training and track progress of regional training plan;
    • Assist with metrics and other management information efforts;
    • Assist with the design, implementation, and maintenance of regional program enhancements;
    • Coordinate with technology partners to develop and/or maintain ACG systems and controls; and
    • Address policy violations by employees.
  • Assisting EMEA ACG Officer with delivery of new compliance program in relation to Anti-Tax Evasion, including developing and implementing new controls.
  • Participate in regional and global GFC projects and initiatives as needed.

QUALIFICATIONS

Skills required (essential)

  • Legal & Compliance or regulatory background
  • Practical working knowledge of the Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act (UKBA)
  • Experience in interpreting relevant anti-corruption laws and regulations across EMEA jurisdictions
  • Highly-motivated self-starter with the ability to work independently while collaborating and coordinating as part of a global program
  • Strong verbal and written communication skills in English
  • Detail-oriented, flexible and diligent
  • Articulate, poised and comfortable in direct interaction with stakeholders at all levels of the organization

Skills desired

  • Previous anti-corruption compliance, legal, or risk experience at a financial institution, law firm, or regulator
  • Project management experience
  • Experience with surveillance / monitoring and testing /assessments
  • Proficiency with MS Word, Excel, PowerPoint, and Access

About Morgan Stanley

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.*LI-FH1

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