We’re seeking someone to join our team as a Compliance Officer (Analyst/Associate) in the Compliance Department to provide a wide range of services to our business units. They might advise on a new product; develop a training program or assist in the complaints handling process and perform monitoring checks.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk.
This is an Analyst level position to assist the Compliance Infrastructure functions and Central Compliance functions team with a focus on general Compliance matters, like Conflict-of-Interest Management (Outside Business Interests), Personal account Dealings, Compliance Reporting and audit coordination. The role is based in Frankfurt.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What will you be doing?
The responsibilities of the Compliance Officer are as set out below:
* Support the MSESE and MSBAG Chief Compliance Officer in the following:
* Coordination of the annual Securities Trading Act Audit (WpHG) of MSESE & MSBAG
* Liaison with the Infrastructure functions to provide advice on compliance and regulatory matters
* Development, maintenance and enhancement of policies and processes to ensure compliance with relevant regulations including execution of updates where appropriate and advise on the potential impact of regulatory reform
* Co-ordination of training for the MSESE and MSBAG infrastructure functions and tracking of the training delivered by the wider Compliance function
* Review and management of Outside Business Interest activities and handling of Employee Trading Policy related queries
* Preparation and delivery of updates and metrics on key infrastructure Compliance Coverage deliverables for senior LCD Management and relevant Governance forums
* Assistance to prepare responses to information and data requests and general/periodic updates to the regulators
* Delivery of other core activities carried out by the Central Compliance function Qualifications
What you’ll bring in the role:
* Degree (law, finance or economics preferable but not essential)
* First experience in Compliance within financial institutions
* Ability to apply legal and regulatory requirements to practical situations
* Strong communication skills
* Well organized and pro-active, solution-oriented
* Excellent German and English language skills (written and spoken)
* Good Microsoft-Excel, -Word, -Outlook and - PowerPoint knowledge
* Ability to perform duties pro-actively, reliably and accurately
* Motivation, ambition and initiative
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.
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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.